| 參考文獻: | 壹、中文文獻
1. 王文宇，控股公司與金融控股公司法，元照，2001年12月初版二刷
2. 王文宇 主編，金融法，元照，2007年9月三版一刷
3. 王志誠，現代金融法，新學林，2009年9月初版
4. Anthony Saunders原著；郭照榮‧沈中華 編譯，金融機構管理，華泰，2001年9月初版
5. 沈中華，金融市場─全球的觀點，新陸書局，99年10月三版修訂版
6. 卲慶平，金融危機的形成、處理機制與法制基礎─對美國次級房貸金融危機的觀察，月旦法學雜誌第165期，2009年2月
7. 陳彩稚，財產與責任保險，智勝文化，2006年9月初版
8. 陳威光，衍生性商品：選擇權、期貨、交換與風險管理，智勝文化，2010年3月再版
9. 彭金隆，金融控股公司─法制監理與經營策略，智勝文化，2004年9月初版
10. 賴英照，最新證券交易法解析，著者自版，2006年2月初版
貳、外文文獻
一、專書
1. DOUGLAS D. EVANOFF & GEORGE G. KAUFMAN ET AL., SYSTEMIC FINANCIAL CRISES – RESOLVING LARGE BANK INSOLVENCIES (2005)
2. GARY H. STERN & RON J. FELDMAN, TOO BIG TO FAIL: THE HAZARDS OF BANK BAILOUTS (2004)
3. G. N. OLSON, BANKS IN DISTRESS: LESSONS FROM THE AMERICAN EXPERIENCE OF THE 1980S (2000)
4. JEAN-CHARLES ROCHET, WHY ARE THERE SO MANY BANKING CRISES? (2008)
5. JEFFREY FRIEDMAN, WHAT CAUSED THE FINANCIAL CRISIS (2011)
6. JOHN LANCHESTER, I.O.U.: WHY EVERYONE OWES EVERYONE AND NO ONE CAN PAY (First Simon & Schuster trade paperback, ed., Simon & Schuster Paperbacks 2010)
7. LLOYD BONFIELD, AMERICAN LAW AND THE AMERICAN LEGAL SYSTEM (2006)
8. ROBERT POZEN, TOO BIG TO SAVE? HOW FIX THE U.S. FINANCIAL SYSTEM (2010)
二、期刊論文
1. Adam Nguyen & Matt Watkins, Financial Services Reform, 37 Harv. J. on Legis. 579 (2000).
2. Arthur E. Wilmarth, Jr., Reforming Financial Regulation to Address the Too-Big-to-Fail Problem, 35 Brooklyn J. Int`l L. 707 (2010).
3. Arthur E. Wilmarth, Jr., The Dodd-Frank Act: A Flawed and Inadequate Response to the Too-Big-to-Fail Problem, 89 Or. L. Rev. 951 (2011).
4. Cornelius Hurley, Paying the Price for Too Big to Fail, 4 Entrepren. Bus. L.J. 351 (2010).
5. David Reiss, The Federal Government Implied Guarantee of Fannie Mae and Freddie Mac`s Obligation: Uncle Sam Will Pick Up the Tab, 42 Ga. L. Rev. 1019 (2008).
6. Henry Hansmann & Ugo Mattei, The Function of Trust Law: A Comparative Legal and Economic Analysis, 73 N.Y.U.L. Rev. 434 (1998).
7. John C. Coffee, Jr., Systemic Risk after Dodd-Frank: Contingent Capital and the Need for Regulatory Strategies beyond Oversight, 111 Colum. L. Rev. 795 (2011).
8. Lisa M. DeFerrari & David E. Palmer, Supervision of Large Complex Banking Organizations, FED. RES. BULL., Feb. 2001, available at http://www.federalreserve. gov/pubs/bulletin/2001/0201lead.pdf.
9. Reinier Kraakman & Henry Hansmann, The Essential Role of Organizational Law, 110 Yale L.J. 387 (2000).
10. Roshni Banker, Glass-Steagall through the Back Door: Creating a Divide in Banking Functions Through the Use of Corporate Living Wills, 2010 Colum. Bus. L. Rev. 424 (2010).
11. Timothy Curry & Lynn Shibu, The Cost of the Savings and Loan Crisis: Truth and Consequences, FDIC Banking Review Vol. 13, No. 2, (2000), available at http://www.fdic.gov/bank/analytical/banking/2000dec/brv13n2_2.pdf.
三、非期刊論文
1. George G. Kaufman & Kenneth E. Scott, What Is Systemic Risk, and Do Bank Regulators Retard or Contribute to It?, The Independent Review, v. VII, n. 3, 371 (2003), available at http://www.independent.org/pdf/tir/tir_07_3_scott.pdf.
2. John Beccia & Cornelius Hurley, Compliance Function in Diversified Financial Institutions: Harmonizing the Regulatory Environment for Financial Services Firms (2007), available at http://www.fsround.org/publications/pdfs/ComplianceFunctioninDiversifiedFinancialInstitutions.pdf.
3. Oliver De Bandt & Philipp Hartmann, What is Systemic Risk Today?, Risk Measurement and Systemic Risk: Proceedings of the Second Joint Central Bank Research Conference, (1999), available at http://www.imes.boj.or.jp/cbrc/cbrc-02.pdf.
4. Svein Andresen, Reducing the Risks and Moral Hazard Posed by Systemically Important Financial Institutions, Korea-FSB Financial Reform Conference - An Emerging Market Perspective, (2010).
四、外國政府與國際監理組織出版品
(一)美國聯邦政府
1. Ben S. Bernanke, Preserving a Central Role for Community Banking (Speech at the Independent Community Bankers of America National Convention, Orlando, Florida), Mar. 20, 2010, http://www.federalreserve.gov/newsevents/speech/bernanke 20100320a.htm#fn1.
2. FINANCIAL CRISIS INQUIRY COMMISSION, THE FINANCIAL CRISIS INQUIRY REPORT - FINAL REPORT OF THE NATIONAL COMMISSION ON THE CAUSES OF THE FINANCIAL AND ECONOMIC CRISIS IN THE UNITED STATES, available at http://fcic-static.law.stanford.edu/cdn_media/fcic-reports/fcic_final_report_full.pdf.
3. GAO, Financial Audit: Resolution Trust Corporation’s 1995 and 1994 Financial Statements, available at http://www.gao.gov/archive/1996/ai96123.pdf. (last visited 2012/4/4)
4. PERMANENT SUBCOMMITTEE ON INVESTIGATIONS OF UNITED STATES SENATE, WALL STREET AND THE FINANCIAL CRISIS: ANATOMY OF A FINANCIAL COLLAPSE MAJORITY AND MINORITY STAFF REPORT, available at http://www.hsgac.senate.gov/download/report-psi-staff-report-wall-street-and-the-financial-crisis-anatomy-of-a-financial-collapse.
5. Resolution Plans Required, 76 Fed. Reg. 67,323-340 (Nov. 1, 2011) (to be codified at 12 C.F.R. pt. 243 & 12 C.F.R. pt. 381).
6. U.S. Treasury Department, Financial Regulatory Reform: A New Foundation, available at http://www.treasury.gov/initiatives/Documents/FinalReport_web.pdf.
(二)英國金融服務監理局
1. Financial Services Authority, Recovery and Resolution Plans Consultation Paper (CP11/16), (Aug. 2011), available at http://www.fsa.gov.uk/pubs/cp/cp11_16.pdf.
2. Financial Services Authority, RRP Guidance Pack for Firms, (Aug. 2011), available at http://www.fsa.gov.uk/static/pubs/cp/cp11_16_rrp_guidance_pack.pdf.
3. Financial Services Authority, Recovery and Resolution Plans CP/DP Annexes, (Aug. 2011), available at http://www.fsa.gov.uk/static/pubs/cp/cp11_16_dp_annexes.pdf.
4. Thomas F. Huertas, Living Wills: How Can the Concept be Implemented? (Speech at Wharton School of Management, University of Pennsylvania Philadelphia), (Feb. 12, 2010), http://www.fsa.gov.uk/pages/library/communication/speeches/2010/0212_th.shtml.
(二)20國集團(G20)
1. G20, Communiqué Meeting of Finance Ministers and Central Bank Governors, Gyeongju, Republic of Korea, (Oct. 23, 2010), available at http://www.g20.org/images/stories/canalfinan/docs/repcore/03gyeongju.pdf.
2. G20, Cannes Summit Final Declaration, Nov. 11–12, 2010, http://www.g20-g8.com/g8-g20/g20/english/for-the-press/news-releases/cannes-summit-final-declaration.1557.html.
(三)金融穩定委員會(FSB)
1. IMF, BIS, FSB, Guidance to Assess the Systemic Importance of Financial Institutions, Markets and Instruments: Initial Considerations, (Oct. 2009), available at http://www.financialstabilityboard.org/publications/r_091107c.pdf.
2. FSB, Policy Measures to Address Systemically Important Financial Institutions, (Nov. 4, 2011), available at http://www.financialstabilityboard.org/publications/r_111104bb.pdf.
3. FSB Report on the Overview of Progress in the Implementation of the G20 Recommendations for Strengthening Financial Stability, (Nov. 4, 2011), http://www.financialstabilityboard.org/publications/r_111104.htm.
4. MAG under FSB & BCBS, Assessment of the Macroeconomic Impact of Higher Loss Absorbency for Global Systemically Important Banks, (Oct. 10, 2011), available at http://www.bis.org/publ/bcbs202.pdf.
5. FSB, Intensity and Effectiveness of SIFI Supervision - Recommendations for Enhanced Supervision, (Nov. 2, 2010), available at http://www.financialstabilityboard. org/publications/r_101101.pdf.
6. FSB, Key Attributes of Effective Resolution Regimes for Financial Institutions, (Oct. 2011), available at http://www.financialstabilityboard.org/publications/r_111104cc.pdf.
7. FSB, Effective Resolution of Systemically Important Financial Institutions - Overview of Responses to the Public Consultation, (Nov. 4, 2011), available at http://www.financialstabilityboard.org/publications/r_111104dd.pdf.
8. FSB, Intensity and Effectiveness of SIFI Supervision - Progress Report on Implementing the Recommendations on Enhanced Supervision, (Oct. 27, 2011), available at http://www.financialstabilityboard.org/publications/r_111104ee.pdf.
(四)巴塞爾銀行監理委員會(BCBS)暨國際清算銀行(BIS)
1. BIS, Annual Report of 1994, available at http://www.bis.org/publ/arpdf/archive/ar1994_en.pdf.
2. BCBS, Global Systemically Important Banks: Assessment Methodology and the Additional Loss Absorbency Requirement - Rules Text, (Nov. 2011), available at http://www.bis.org/publ/bcbs207.pdf.
3. BCBS, Global Systemically Important Banks: Assessment Methodology and the Additional Loss Absorbency Requirement - Cover Note, (Nov. 2011), available at http://www.bis.org/publ/bcbs207cn.pdf.
4. BCBS, Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems, (Dec. 2010), available at www.bis.org/publ/bcbs189.pdf.
5. BCBS, Basel II: International Convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version - Part 2: The First Pillar – Minimum Capital Requirements, (June 2006), available at http://www.bis.org/ publ/bcbs128b.pdf.
6. BCBS, Core Principles for Effective Banking Supervision (Version 1), (Sept. 1997), available at http://www.bis.org/publ/bcbs30a.pdf.
7. BCBS, Core Principles for Effective Banking Supervision, (Oct. 2006), available at http://www.bis.org/publ/bcbs129.pdf.
8. BCBS, Core Principles Methodology, (Oct. 2006), available at http://www.bis.org/publ/bcbs130.pdf.
9. BCBS, Report and Recommendations of the Cross-border Bank Resolution Group, (Mar. 2010), available at http://www.bis.org/publ/bcbs169.pdf.
10. BCBS, Resolution Policies and Frameworks – Progress So Far, (July 2011), available at http://www.bis.org/publ/bcbs200.pdf.
11. BCBS, Principles for Enhancing Corporate Governance, (Oct. 2010), available at http://www.bis.org/publ/bcbs176.pdf.
12. BCBS, Principles for Sound Stress Testing Practices and Supervision, (May 2009), available at http://www.bis.org/publ/bcbs155.pdf.
13. BIS & IOSCO, Principles for Financial Market Infrastructures - Consultative Report, (Mar. 2011), available at http://www.bis.org/publ/cpss94.pdf.
五、報導、專訪(依時間排序)
1. Cornelius Hurley, Getting It Right the Next Time on “Too Big to Fail”, REUTERS, Sept. 2008, http://www.reuters.com/article/reutersComService4/idUSTRE48S7XQ20080929.
2. Greenspan: Economy in `Once-In-A-Century` Crisis, CNN MONEY, Sept. 14, 2008, http://money.cnn.com/2008/09/14/news/economy/greenspan/.
3. David Lawder, "Too Big to Fail" Must End for All: FDIC Chief, REUTERS, Oct. 4, 2009, http://www.reuters.com/article/wtUSInvestingNews/idUSTRE59313Y20091004.
4. Jill Treanor, FSA to Demand `Living Wills` for Banks, THE GUARDIAN, Oct. 22, 2009, http://www.guardian.co.uk/business/2009/oct/22/financial-services-authority-living-wills-banks.
5. Steve Matthews & Phil Mattingly, Bernanke Says Public Shouldn’t Pay to Wind Down Financial Firms, BLOOMBERG, Mar. 22, 2010, http://www.bloomberg.com/apps/news?pid=newsarchive&sid=aBzldmyPmc9o.
6. Yalman Onaran et al., The Battle over Bank Rules at Basel III, BLOOMBERG BUSINESSWEEK, May 27, 2010, http://www.businessweek.com/magazine/content/10_23/b4181041624904.htm.
7. Mark Leftly, British Banks` Survival Plans Set for G20, THE INDEPENDENT, Sept. 5, 2010, http://www.independent.co.uk/news/business/news/british-banks-survival-plans-set-for-g20-2070604.html.
8. Louise Egan, Canada Advances on Plans to Deal with Bank Failures, REUTERS, Jan. 25, 2011, http://in.reuters.com/article/2011/01/25/canada-banks-regulation-idINN2525421320110125.
9. Alexander Eichler, Volcker Rule Deadline Likely Blown, Says Bernanke, THE HUFFINGTON POST, Mar. 1, 2012, http://www.huffingtonpost.com/2012/03/01/volcker-rule-deadline_n_1313299.html?ref=business. |
