2018年CFLP国际金融法律暑期项目招生简章

Enrolment Scheme for 2018 CFLP Summer Program in Financial Law

by theCFLP atShanghai Lixin University of Accounting and Finance,

taught by Dr. John H. Walsh, former SEC General Counsel



项目主办（Organizer）：上海立信会计金融学院法学院、上海立信会计金融学院金融法律与政策研究中心（The Center for Financial Law and Policy, CFLP）

学术支持（Supporter）：The Center for International Legal Studies, Salzburg, Austria (CILS), and the U.S.-China Legal Exchange Foundationof Princeton, New Jersey, United States (UCLEF)

协办合作（Sponsors）：上海市浦东金融法治学术研究会、上海汉盛律师事务所、上海捷铭律师事务所、上海市浦东翻译协会

时间：2018年7月9日—7月20日

地点：上海市浦东新区上川路995号（上海立信会计金融学院浦东校区）国际交流中心

课程背景随着经济全球化的发展和“一带一路”倡议的推进，中国企业对外投融资、海外上市、跨国并购等国际化经营行为越来越多，急需一大批能够把握国际国内市场、熟悉国外金融法律的高级专门人才。在此趋势下，上海立信金融会计学院金融法律与政策研究中心在国际知名机构的支持下，将2018年7月9日至7月20日在上海举办“2018年国际金融法律暑期项目”，面向全国及海外高校教师、研究生（包括硕士生和博士生）、优秀本科生以及各类金融机构、中介服务企业等实务部门的律师、法务、合规等专业人员招收学员。

上海立信会计金融学院金融法律与政策研究中心（CFLP）是致力于金融法律与政策研究、专业人才培养和社会服务的学术机构，在欧洲CILS和美国UCLEF等学术合作单位的支持下，每年暑期聘请欧美等地金融与法律方面的高端实务专家，籍此国际金融法律暑期项目，为我校金融法专业的师生开设专业性、系列化的学术讲座；同时，吸收部分兄弟院校金融法专业的师生、实务部门的专业人员参加，以期加强理论与实践的结合、促进专业与学术的交流，为“一带一路”倡议的推进、上海国际金融中心的建设，培养一批熟悉国外金融市场法律实务的高级专业人才。

本暑期项目同时是欧洲跨国商事法律硕士项目的一个组成部分，该跨国商事法律硕士项目学员参加本暑期项目学习，考试合格，获得3个学分。The CFLPSummer Program will be a part of the LL.M. in Transnational Commercial Practice, and the participants in the LL.M. program will earn three credits after completing this summer program.

本项目向上海立信会计金融学院相关专业的青年教师、在校学生和欧洲跨国商事法律硕士项目学员，免费开放，优先录取。The Programis free and open to young teachers and students from Shanghai Lixin University, and students from the program of LL.M in Transnational Commercial Practice.

1.开课时间和授课语言

开课时间：2018年7月9日至7月20日，周一至周五（考试时间为7月20日周五下午）。

授课语言：上午进行课堂教学，英语授课；下午举办专题研讨、学术交流活动，中文为主。

Duration of the Program，and language of instruction

Period:Monday 9 July – Friday 20 July 2018 (exam in the afternoon of Friday,20 July).

Language of instruction:The morning lectures are in English, and the afternoon activities in Chinese.

2.教师

每天上午将由曾在美国证监会（SEC）工作23年，担任SEC总法律顾问、法律合规监督检查办公室总裁，现为全球最大经济律师事务所之一的安睿国际律师事务所（Eversheds Sutherland LLP）合伙人的John H. Walsh博士主持系列化的课堂讲授。

下午的专题研讨、学术交流活动，将由上海立信会计金融学院金融法律与政策研究中心的学术顾问、专家成员根据不同专题内容分别主持进行。

本次暑期课程项目，将根据最后的考试成绩，提供3个部分奖学金名额报读欧洲跨国商事法律硕士项目。对于有兴趣获得奖励机会的同学，建议参加在下午的研讨会，因为考试中涉及的知识点将在其中进行更加详细的讲解。只有（全勤的）学员才能参与奖励机会竞争。

Teachers

The course is taught in the morning hours by Dr. John H. Walsh, who is Partner of Eversheds Sutherland LLP which is an international top 40 law practice, and formerGeneral Counsel and Director of the Office for Compliance Inspection and Examination at the United States Securities and Exchange Commission (SEC).The afternoon workshops and activities will be chaired by financial law experts fromthe Center for Financial Law and Policy at Shanghai Lixin University of Accounting and Finance.

Three scholarships are available for theL.LM.in Transnational Commercial Practice program conducted in cooperation with Lazarski University, Warsaw, and E?tv?s Lorand University, Budapest. The scholarships are available to the three students with the best results in the summer course examination. Students wishing to compete for the scholarships are strongly advised to participate in the course’s afternoon workshops.The knowledge and insight tested by the course examination will cover the issues that are explained in some details in the workshops. Only full-time students may compete for the L.LM. scholarships.

3.研讨话题

2018年CFLP国际金融法律暑期项目以《美国证券法律与实务》为题，以引领学员全面掌握美国证券市场的法律合规监管规则与企业跨国上市实务，主要研讨以下内容：

(1)美国证券法制基本概念

(2)美国证券市场发展分析

(3)美国证券的一级市场发行

(4)美国证券的二级市场交易

(5)赴美发行上市的案例分析

(6)SEC对机构投资者的监管

(7)SEC执法情况分析

(8)SEC合规检查情况

(9)证券市场监管的国际化发展

(10)美国证券市场避免困境的案例分析

Course subjects

This course will provide an overview of the rule of law in the U.S. regulatory regime for securities. In Part 1 the students will be introduced to the fundamentals of U.S. securities regulation.In Part 2 they will learn about the laws and regulations governing the issuance and trading of securities.In Part 3 they will learn about the overall regulatory regime, including the regulation of institutional investors and how the SEC enforces the securities laws and regulations. By the end of the course students should have a basic understanding of how the rule of law operates throughout the regulatory regime.

Part I:Introduction.

Unit 1: Fundamental Concepts in U.S. Securities Regulation

Unit 2: Analysis of the Development of the U.S. Securities Markets

Part II: Issuing and Trading Securities

Unit 3: Primary Issues of Securities in the U.S.

Unit 4: Secondary Market Trading of Securities in the U.S.

Unit 5: Case Study on Entering the U.S. Market

Part III: The Regulatory Regime

Unit 6: SEC Regulation of Institutional Investors

Unit 7: SEC Enforcement

Unit 8: SEC Examinations

Unit 9: International Developments

Unit 10: Case Study on Avoiding Trouble in the U.S. Market

4.时间表

(1)注册及领取课程资料：2018年07月8日10:00-18:00（即，课程开始前一天）

(2)开班仪式：2018年7月9日（周一）上午8:30

(3)授课时间：2018年7月9日至7月20日；上午8:30到中午11:30点（课程）、下午13:00到16:00（研讨活动）

(4)考试时间：2018年7月20日（周五）下午14:00-16:00。

Time table

-Arrival registration (and distribution of course materials): Sunday 8 July 2018 between 10a.m.to 6 p.m.(i.e., the daybefore the course begins)

-Opening Ceremony: Monday 9 July 2018, 8:30 a.m.

-Classes:Monday 9 July – Friday 13 July 2018; Monday 16 July – Friday 20 July 2018

-Timetable:8:30 a.m. – 11:30a.m. (lecture)&13:00 – 16:00 p.m. (activities)

-Breaks: Weekend, 14– 15 July 2018

-Exam:Friday,20 July 2018, 14:00 - 16.00.

5.报名条件

谁可以申请加入本暑期课程：

A –金融法、经济法或金融保险、财务会计等专业的本科生；金融法、经济法、民商法或金融专业的硕士或者博士研究生

B –金融法、经济法、民商法和金融保险、财务会计等专业的大学教师

C –律师、会计师、投资银行家等专业服务人员

D –政府金融部门专业人员

E –金融企业法律合规部门从业人员

同时需满足以下要求：英文水平较高。通过全国大学英语六级水平测试；或其他证明，如雅思或托福成绩；具备基础金融与法律知识。参加过大学金融、法律课程学习，有金融法律合规从业工作经验者优先。

本次暑期项目学员总数限额100名。大学教师、政府职员和从业人士无报名限额，对在校学生的选拔将主要基于其学术水平，学业优秀的在校学生优先录取。

Requirements for enrollment as a participant

Admission to the 2018 CFLP Summer Program in Financial Law is open to the following categories of persons:A.university students who are pursuing (i) an undergraduate degree with a specialization in financial law (or finance), economic law or financial accounting or (ii) a master or doctoral degree in financial law, or in finance;B.university teachers of financial law, economic law,orfinance, accounting;C.lawyers, investment bankers and other professionals in the field of financial services, and government officials for financial regulation, andD.law practitioners in private practice or working in a corporate law or compliance department, who meet the following requirements:(1)proven English proficiency: pass the National College English Test level six (CET6); or scores ofIELTS or TOEFL,and(2)adequate finance and law knowledge based on either courses taken at colleges or financial law practice experience.

Enrollment in the 2018 CFLP Summer Program in Financial Law is restricted to 100 participants. There is no number restriction for university teachers, government officials and practitioners.Students will be selected on the basis of academic merit.Students with better academic performance will be given priority.

6.考核、结业

出席所有的讲座及研讨活动（出席情况将在每天上午和下午分别进行统计），参加并通过考试的学员，将获得由CFLP、CILS和UCLE联合颁发的结业证书；如成绩达到6.0及以上（以0-10分制），将获得成绩优秀证书。

Exams, certificates and Credits

Participants who attend all morning lectures &afternoon activities (attendance will be checked every morning and afternoon) and pass the exam will receive a Certificate of Completion issued jointly by CFLP, CILS and UCLE.If a participant obtains an exam grade of at least 6.0 (on a scale 0 -10) s/he will be given aCertificate of Completion with Honors.

7.课程费用与补贴

(1)上海立信会计金融学院的在校学生、教师，免费（含授课和课程资料）；

(2)对于其他高校教师、政府部门官员和金融与法律从业人员，适当收取部分费用，用以支付暑期项目的办学费用、资料费用、教室费用等；

(3)其他所有费用，将由参加项目的学员自行承担。需要安排住宿者，需另行支付住宿费。

(4)授课地点和住宿，都在上海立信会计金融学院国际会议中心；住宿费用标准：标准间180元/间/天。

(5)主办单位为参加学习的所有在校学生提供免费午餐。

Summer Course fee

Participation in the Summer Program (including course materials) is free for all students, and teachers from Linxin University. Other participants (university teachers, government officials and finance and law practitioners) will be properly charged a course fee.Student participants will receive each day a lunch coupon. All other expenses are to be borne by the participants themselves.

8.申请

申请者需在2018年6月30日前以电子邮件方式向联系人提供以下材料：（1）简历；（2）数码照片（25×35 mm)；（3）英语成绩证明（大学英语水平考试（CET）、雅思或托福成绩）；（4）学术研究 （选择性提交）：在金融、法律类刊物（中英文）发表的文章或书籍电子版。

联系人：沈佳林

电话：021-50218592；手机：18021098263；报名邮箱：cflp2018@163.com。

最终名单将在上海立信会计金融学院网站http://fxy.lixin.edu.cn/及http://www.lixin.edu.cn/公布。

Application

Applicants must send (a) a resume, (b) a digital photo (25 × 35 mm), (c) proof of English proficiency (College English Test level six [CET6], IELTS or TOEFL score), and, optionally, (d) a digital version of articles (and/or books) they have been published in a (Chinese or English) finance or law periodical, before30 June 2018to the following persons by email:

A list of all persons accepted to participate in the course will be posted athttp://fxy.lixin.edu.cn/andhttp://www.lixin.edu.cn/before 5 July 2018.
CONTACT INFO

Contact person: SHEN Jialin

Mobile: (+86) 18021098263; Tel: (+86-21) 50218592; Email:cflp2018@163.com