南台課程大綱
學年度 107學年第一學期 系所 財法所
課程名稱 證券交易法專題研討 班級 碩專財法一甲,碩專財法二甲
授課教師 陳俊仁 點 閱 次 數 82
選修
選修
課程概述
透過有價證券對公開發行的程序與買賣的討論,引領出關於有價證券的定義,買賣交易,證券商與證券交易,集中市場的相關規範,以期作為下學期進一步討論有價證券的公開收購、操縱市場、短線交易與歸入權、內線交易、利益輸送及反詐欺條款的相關議題之基礎,使學生能對證券交易法有一個完整的認識。
Course Description: The course discusses fundamental principles of securities regulation. Various topics such as IPO, primary and secondary distributions, private placement, and proxy solicitation will be explored and discussed to serve as a solid basis for the advanced discussions of tender offer, manipulations, short swing rule and disgorgement right, insider trading, tunneling, and anti-fraud provisions in the next semester to enable students to gain acquaintance with securities regulation.
課程目標
使律師及學生了解證交法之立法及外在法環境之變化,對於學者從事於證券法務及證券金融業工作奠下基礎。
課程大綱
Week 1 證券市場與證券交易法概論
Introduction to Securities Market & Regulation
Week 2 有價證券的定義
Definition of Securities
Week 3 證券商、證券交易所與櫃買中心
Brokers, Dealers, Stock Exchange and OTC
Week 4 公開發行與承銷
Public Offering and Underwriting
Week 5 公開發行與資訊揭露
Public Offering and Disclosure
Week 6 有價證券之私募
Private Placement
Week 7 獨立董事與審計委員會
Independent Director and Audit Committee
Week 8 薪資報酬委員會
Compensation Committee
Week 9 委託書與股東提案權
Proxy and Shareholder Proposal
Week 10 公開收購
Tender Offer
Week 11 庫藏股制度
Treasury Stock
Week 12 操縱市場行為
Manipulation
Week 13 短線交易與歸入權
Short Swing Trading & Disgorgement
Week 14 內線交易
Insider Trading
Week 15 內線交易
Insider Trading
Week 16 利益輸送與特別背信罪
Tunneling
Week 17 期末報告
Student Presentation
Week 18 期末報告
Student Presentation

英文大綱
Week 1 Introduction to Securities Market & Regulation
Week 2 Definition of Securities
Week 3 Brokers, Dealers, Stock Exchange and OTC
Week 4 Public Offering and Underwriting
Week 5 Public Offering and Disclosure
Week 6 Private Placement
Week 7 Independent Director and Audit Committee
Week 8 Compensation Committee
Week 9 Proxy and Shareholder Proposal
Week 10 Tender Offer
Week 11 Treasury Stock
Week 12 Manipulation
Week 13 Short Swing Trading & Disgorgement
Week 14 Insider Trading
Week 15 Insider Trading
Week 16 Tunneling
Week 17 Student Presentation
Week 18 Student Presentation
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