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    Please use this identifier to cite or link to this item: https://tkuir.lib.tku.edu.tw/dspace/handle/987654321/74017

    Title: 臺灣證券業因應ECFA內控策略之研究 : 以元大證券為例
    Other Titles: Study of Taiwan securities business for building internal control system responding to ECFA : a case of YuanTa Securities Company
    Authors: 劉子菡;Liu, Tzu-Han
    Contributors: 淡江大學國際商學碩士在職專班
    Keywords: 兩岸經濟合作架構協議;金融監理合作瞭解備忘錄;證券業;內控制度;風險控管;ECFA;MOU;Securities Business;Internal Control system;Risk Control
    Date: 2011
    Issue Date: 2011-12-28 17:48:33 (UTC+8)
    Abstract: 隨著兩岸經濟合作逐漸頻繁,總體政經情勢上大有和緩之勢,近來更因為「金融監理備忘錄」(MOU)以及「兩岸經濟合作架構協議」(ECFA)的簽訂,為兩岸未來合作發展帶來無限想像空間。未來是否能夠透過ECFA的談判來消除諸多經營障礙以及經營困境。另外隨著兩岸經濟發展,國內相關證券業者內部控制以及風險控管機制,是否已建立完善足以因應未來兩岸合作,都是本研究所針對的主要課題。


    As the frequent cooperation grows up between Taiwan and Mainland China, there is a big improvement in the economic situation in recent years. The key points are about MOU and ECFA, giving more opportunities to both Taiwan and Mainland China markets. Especially we hope ECFA could really remove lots of limitations for securities business. But before that, we must view and care about the internal control and risk control systems in accordance to cooperation with each other.

    The thesis takes a case study about the securities business. Through the research of the thesis, we figure that we are just at the beginning of the ECFA age. Weather the policy in Taiwan or in Mainland China, it could do more efforts to improve the situation until now. But we must watch the health of the internal control system in the securities business. The thesis takes Yuanta Securities for a case study, to find out how the operations work in the real securities business. Through the case study, we find some important rules as followings:

    1.Whatever developing in the Both Banks Market or global financial business, we must pay attention to the regulations of the original and the local controlling organizations, and make it in written form to well control.
    2.When the securities business extends to the global business, it must set unobstructed communication channels to the motherland controlling units and report in fixed time.
    Appears in Collections:[Graduate Institute & Department of International Business] Thesis

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