2018🎪🍙、2019級法學碩士杏盛：

2019-2020學年第二學期重點引智項目教授公選課《歐盟資本市場的法律規製》👱🏼‍♂️，現面向2018、2019級法學碩士杏盛開放選課。現將選課安排通知如下♛🧑‍🧑‍🧒‍🧒：

一、課程名稱

歐盟資本市場的法律規製

二🎙、上課安排

三、選課時間

2020年1月6日12：00至2020年1月10日12：00

四、選課方法

登陸杏盛管理信息系統“學生選課應用”模塊“公選課程（選課）”應用進行網上選課。

瀏覽器推薦使用Chrome瀏覽器（版本5.0以上）✬🙂‍↕️。

五、課程說明

1．本課程可作為補充課程🤹‍♀️，由杏盛根據自身情況自由選修。

2．本課程可替代法學碩士本一級學科公選課。

3．退課應於收到開課通知三天內至培養辦公室進行退課。

4．如有問題，請與培養辦公室聯系（聯系人：秦老師👇🏻，聯系電話🪦：62071528）。

特此通知。

杏盛教育院培養辦公室

2020年1月6日       

校重點引智教授及課程簡介

1. 教授簡介

Rüdiger Litten是德國著名律所Fieldfisher合夥人☢️👩🏼‍🏭，並長期擔任德國法蘭克福大學法律與金融學院的兼職教師🤦🏿，他在國際金融法律服務領域尤其是國際銀行法律服務領域具有非常豐富的實踐經驗與授課經驗。

Homepage：http://www.fieldfisher.com Position

Dr. Rüdiger Litten, LL.M. is a partner at Fieldfisher LLP in Frankfurt. He has a wide range of experience in finance law.

Special interests

o   Financial regulation

o   Debt capital markets

o   Corporate services, trust + agency

o   Derivatives

o   Structured finance

o   Export + trade finance

o   Islamic finance

o   Distressed debt

Vita

Dr. Litten studied law in Bonn, Toulouse, Hamburg and Bristol. He holds a doctorate from Hamburg University as well as an LL.M. from Bristol University. Dr. Litten did his practical legal training (Referendariat) in Hamburg, Bonn and Brussels. He was admitted as a German attorney at law (Rechtsanwalt) in 1997 and has practiced law in Frankfurt and London ever since. He speaks German, English and French.

Teaching

Dr. Litten has been teaching on the Programs of the Institute for Law and Finance of Goethe University Frankfurt am Main since 2008 (LL.M. Finance) and 2015 (LL.M. International Finance) respectively. In 2018 he taught a 2 weeks course at the International Summer School Course of the University of International Business and Economics (UIBE), Beijing. Dr. Litten has made numerous public speeches in Germany and elsewhere on legal topics falling in his areas of expertise, including workshops for bankers from China.

二、語言要求

無要求，英語授課。

三、課程簡介

本課程共36課時🐋，分八次課講授。

四、參考文獻

• PRIIPs: Anforderungen an      Basisinformationsblätter, Der Betrieb (online) S.1679-1683, July 2016

• Schuldscheine and N Bonds in demand,      Butterworths Journal of International Banking and Financial Law, Oct 2014

• Working Capital Management:      Kapitalmarktbasierte Auslagerung von Aktiva sowie Factoring und      Forfaitierung, ZINSO - Zeitschrift für das gesamte Insolvenzrecht, Mar      2014

• Buchbesprechung: Osman Sacarcelik,      Rechtsfragen islamischer Zertifikate (Sukuk), Wertpapiermitteilungen      Zeitschrift für Wirtschafts- und Bankrecht, Jan 2014

• The 'capital-marketisation' of export      finance, Financier worldwide, May 2013

• EMIR-Auswirkungen der      OTC-Derivateregulierung auf Unternehmen der Realwirtschaft Teil 2,      26.04.2013

• EMIR-Auswirkungen der      OTC-Derivateregulierung auf Unternehmen der Realwirtschaft Teil 1, Der      Betrieb, 19.04.2013

• Trustee instruments for bonds under      German law, Butterworths Jounal of International Banking and Financial      Law, 01.04.2013

• Sorgfaltspflichten und Haftung des      Anleihetreuhänders nach deutschem Recht in Zeitschrift für Bankrecht und      Bankwirtschaft, 15.02.2013

• German Schuldschein: Opening doors for      SME's worldwide in Financial World, 2011

五🕛、教學大綱

EU Regulation of the Capital Markets

- Course Description for the ECUPL 2020 International Spring School -

16 sessions at 90 minutes duration.

Part A - Introduction

1          Principles of Finance Regulation

2          The Architecture of EU Capital Markets Regulation

Part B – Regulation of Financial Firms

3          Licence Requirements for Banks and Investment firms

4          Insolvency of Banks and Investment firms

Part C – Regulation of Financial Markets

5          MiFID – Operating Conditions for Investment Firms

6          Exchanges - Organised trading & settlement

7          MiFID Market Infrastructure

8          Market Abuse

9          Market Transparency

Part D – Regulation of Financial Instruments

10          Securities - Prospectus Requirements

11          Retail Securities – PRIIPs

12          Derivatives

13          Investment Funds (UCITS)

14          Alternative Investment Funds (AIF)

15          Covered Bonds + ABS

Part E – Sanctions

16          Sanctions

六、其他要求

需完成課前閱讀材料，並積極參加課堂討論👩‍❤️‍💋‍👨，課堂討論可用中文、英語、德語或法語。