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    請使用永久網址來引用或連結此文件: http://nccur.lib.nccu.edu.tw/handle/140.119/115735


    題名: 臺灣銀行業之全球挑戰:防制洗錢與打擊資助恐怖主義–以兆豐國際商業銀行為例
    A global challenge of taiwanese banking industry : anti-money laundering and combating the financing of terrorism – a case study of mega international commercial bank
    作者: 孫曼蓉
    Sun, Man-Jung
    貢獻者: 吳文傑
    Wu, Jack
    孫曼蓉
    Sun, Man-Jung
    關鍵詞: 洗錢
    金融恐怖主義
    兆豐國際商業銀行
    紐約州金融服務廳
    巴拿馬文件
    Money Laundering
    Financing of Terrorism
    Mega International Commercial Bank
    New York State Department of Financial Services
    日期: 2018
    上傳時間: 2018-02-02 11:08:07 (UTC+8)
    摘要: Money laundering (ML) involves a wide range of predicate offenses, including drug trafficking, human smuggling, arms smuggling, gambling, fraud, tax evasion, etc. Additionally, money laundering activities had been associated with drug trafficking or organized crime in the past, but the terrorist attacks on September 11th, 2001 have highlighted the link between money laundering activities and terrorist financing (TF). Due to the over-banking phenomenon in Taiwan, banks focus more on business performance than compliance, resulting in the violation incident of Mega International Commercial Bank (Mega Bank) New York Branch with a huge penalty of US$180 million fined by the New York State Department of Financial Services (NYDFS) in August, 2016. The violation incident of Mega Bank New York Branch has reinforced the importance of compliance with international Anti-money laundering/Combating the financing of terrorism (AML/CFT) standards for risk mitigation. Taiwan will undergo the third round of the Asia/Pacific Group on Money Laundering (APG) mutual evaluations in 2018, it calls for not only government legislation but also raising public awareness of ML/TF crimes and involves the public cooperation with the government in the fight against ML/TF.
    參考文獻: Alford, Duncan E. (1993), Anti-Money Laundering Regulations: A Burden on Financial Institutions, N.C. J. Int'l L. & Com. Reg., Vol. 19, pp. 437-468

    Aluko, Ayodegi (2012), The Impact of Money Laundering on Economic, and Financial Stability and on Political Development of Developing Countries: The case of Nigeria, Journal of Money Laundering Control, Vol. 15, Issue: 4, pp. 442-457

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    Bank for International Settlements (2017), Sound Management of Risks Related to Money Laundering and Financing of Terrorism

    FATF (2012), International Standards on Combating Money Laundering and the Financing of Terrorism & Proliferation, updated October 2016

    FATF (2014), Guidance for a Risk-Based Approach, The Banking Sector, The Banking Sector

    FATF and APG (2016), Anti-money laundering and counter-terrorist financing measures - Singapore, Fourth Round Mutual Evaluation Report

    Freeman, Michael (2011), The Sources of Terrorist Financing: Theory and Typology, Studies in Conflict & Terrorism, Vol. 34, pp. 461–475

    Hung, Jui-Long & Luo, Binjie (2016), FinTech in Taiwan: A Case Study of a Bank’s Strategic Planning for an Investment in a FinTech Company, Financial Innovation, Vol. 2, Issue: 15

    Jayasuriya, Dayanath (2003), Money Laundering and Terrorism Financing: The Role of Capital Market Regulators, Journal of Financial Crime, Vol. 10, Issue: 1, pp. 30-36


    Krieger, Tim and Meierrieks, Daniel (2011), Terrorist Financing and Money Laundering, University of Freiburg

    Mcgee, Robert W. (2017), The Panama Papers: A Discussion of Some Ethical Issues, Journal of Insurance and Financial Management, Vol. 3, Issue: 3, pp. 1-41

    Mega Financial Holding Co., Ltd. (2016), Dodd-Frank Act Section 165(d), 2016 Resolution Plan, Part I: Public Section

    Mega International Commercial Bank (2017), Annual Report 2016

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    New York State Department of Financial Services (2013), Consent Order to Bank of Tokyo Mitsubishi UFJ

    New York State Department of Financial Services (2014), Consent Order to Bank Leumi
    New York State Department of Financial Services (2014), Consent Order to Bank of Tokyo Mitsubishi UFJ

    New York State Department of Financial Services (2014), Consent Order to BNP Paribas (BNPP)

    New York State Department of Financial Services (2014), Consent Order to Credit Suisse AG
    New York State Department of Financial Services (2014), Consent Order to Standard Chartered Bank, New York Branch

    New York State Department of Financial Services (2015), Consent Order to Commerzbank
    New York State Department of Financial Services (2016), Consent Order to Agricultural Bank of China Limited

    New York State Department of Financial Services (2016), Consent Order to Intesa Sanpaolo S.p.A.

    New York State Department of Financial Services (2016), Consent Order to Mega International Commercial Bank of Taiwan

    New York State Department of Financial Services (2017), Consent Order to Deutsche Bank AG and Deutsche Bank AG New York Branch

    O’Donovan, James, Wagner, Hannes F., and Zeume, Stefan (2016), The Value of Offshore Secrets: Evidence from the Panama Papers, INSEAD, Bocconi University, and University of Michigan

    Rahman, Aspalella A. (2008), An Analysis of the Malaysian Anti-Money Laundering Laws and Their Impact on Banking Institutions, thesis for the degree of Doctor of Philosophy of Faculty of Law, The University of Western Australia

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    The Association of Banks in Singapore (2015), ABS Guidelines on Anti-Money Laundering and Countering the Financing of Terrorism

    The Banker (2017), Top 1000 World Banks 2017

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    The Bankers Association of the Republic of China (2017), Template of Directions Governing Anti-Money Laundering and Countering the Financing of Terrorism of Banks


    Trautman, Lawrence J. (2017), Following the Money: Lessons from the Panama Papers, Part 1: Tip of the Iceberg, Penn St. L. Rev., Vol. 121, pp. 807-873

    Chinese Reference:

    吳瓊佩 (2014),我國銀行法令遵循制度之研究,國立政治大學法學院法律科際整合研究所碩士學位論文。

    邱莉婷 (2011),我國金融服務業發展之回顧與展望,經濟研究第11期,pp. 171-197

    張迺佳 (2016),我國商業銀行洗錢防制與打擊資助恐怖主義法規範之問題與對策探討,國立政治大學法律學系碩士在職專班碩士學位論文。

    Reference Websites:

    Anti-Money Laundering Division, Investigation Bureau, Ministry of Justice, Available at:
    https://www.mjib.gov.tw/EditPage/?PageID=3bf48af4-bfbe-41e3-9137-d908e16eb1cc

    Asia/Pacific Group on Money Laundering (APG), Available at:
    http://www.apgml.org/about-us/page.aspx?p=91ce25ec-db8a-424c-9018-8bd1f6869162
    http://www.apgml.org/about-us/page.aspx?p=ac38f87e-2341-43e6-84b2-4dbd6346f6c3
    http://www.apgml.org/fatf-and-fsrb/page.aspx?p=94065425-e6aa-479f-8701-5ca5d07ccfe8
    http://www.apgml.org/members-and-observers/page.aspx?p=8c32704a-5829-4671-873c-7b5a23ced347
    http://www.apgml.org/methods-and-trends/page.aspx?p=a4a11dca-75f2-4dae-9c25-6215103e56da

    Chinatimes, Available at:
    http://www.chinatimes.com/newspapers/20160824000360-260102
    Commercial Times, Available at:
    https://ctee.com.tw/News/ViewCateNews.aspx?newsid=155514&cateid=cjzc

    Compliance Alert, Available at:
    http://www.calert.info/details.php?id=944

    Council on Foreign Relations (CFR), Available at:
    https://www.cfr.org/backgrounder/what-are-economic-sanctions

    Executive Yuan, Republic of China (Taiwan), Available at:
    http://english.ey.gov.tw/News_Content.aspx?n=3FA02B129BCA256C&sms=925E4E62B451AB83&s=DEED8C612AC1786A
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    Financial Action Task Force (FATF), Available at:
    http://www.fatf-gafi.org/about/
    http://www.fatf-gafi.org/about/whatwedo/

    Financial Supervisory Commission, Banking Bureau, Available at:
    https://www.banking.gov.tw/en/home.jsp?id=18&parentpath=0,5
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    Focus Taiwan, Available at:
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    Forbes, Available at:
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    International Consortium of Investigative Journalists (ICIJ), Available at:
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    http://www.iflr.com/Article/3748204/New-anti-money-laundering-legislation-in-Taiwan-Implementation-of-the-newly-amended-Money-Laundering.html

    International Monetary Fund (IMF), Available at:
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    https://kyc360.com/article/podcast-everyday-money-laundering/

    Mega International Commercial Bank, Available at:
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    https://www.megabank.com.tw/en/about_oc.asp
    https://www.megabank.com.tw/en/dload01.asp
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    Ministry of Foreign Affairs, Republic of China (Taiwan), Taipei Liaison Office in the RSA, Available at:
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    Monetary Authority of Singapore (MAS), Available at:
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    Newsweek U.S. Edition, Available at:
    http://www.newsweek.com/panama-papers-top-ten-tax-havens-where-money-hidden-444512

    New York State Department of Financial Services (NYDFS), Available at:
    http://www.dfs.ny.gov/about/eagen.htm

    SWI swissinfo.ch., Available at:
    https://www.swissinfo.ch/eng/secret-banking_switzerland-still-tops-financial-secrecy-index/41755204

    Tax Justice Network (TJN), Available at:
    http://www.financialsecrecyindex.com/introduction/fsi-2015-results

    The Atlantic, Available at:
    https://www.theatlantic.com/international/archive/2016/04/panama-papers-tax-havens-world/477042/

    The Egmont Group of Financial Intelligence Units, Available at:
    https://www.egmontgroup.org/en/content/about

    The Wolfsberg Group, Available at:
    http://www.wolfsberg-principles.com/index.html

    TheNewsLens, Available at:
    https://international.thenewslens.com/article/79235

    United Nations Office on Drugs and Crime (UNODC), Available at:
    https://www.unodc.org/unodc/en/about-unodc/index.html?ref=menutop
    https://www.unodc.org/unodc/en/money-laundering/laundrycycle.html

    World Economic Forum, Available at:
    https://www.weforum.org/agenda/2016/04/5-charts-on-the-panama-papers-leaks
    描述: 碩士
    國立政治大學
    國際經營管理英語碩士學位學程(IMBA)
    105933011
    資料來源: http://thesis.lib.nccu.edu.tw/record/#G0105933011
    資料類型: thesis
    顯示於類別:[國際經營管理英語碩士學程IMBA] 學位論文

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