1
课程详述
COURSE SPECIFICATION
以下课程信息可能根据实际授课需要或在课程检讨之后产生变动。如对课程有任何疑问，请联
系授课教师。
The course information as follows may be subject to change, either during the session because of unforeseen
circumstances, or following review of the course at the end of the session. Queries about the course should be
directed to the course instructor.
1.
课程名称 Course Title
中国经济与金融 China Economics and Finance
2.
授课院系
Originating Department
金融系 Department of Finance
3.
课程编号
Course Code
FIN310
4.
课程学分 Credit Value
3
5.
课程类别
Course Type
专业核心课 Major Core Courses
6.
授课学期
Semester
春季 Spring
7.
授课语言
Teaching Language
中文 Chinese
8.
授课教师、所属学系、联系方
式（如属团队授课，请列明其
他授课教师）
Instructor(s), Affiliation&
Contact
（For team teaching, please list
all instructors）
栗沛沛,助理教授，金融系
Peipei LI, Assistant Professor, Department of Finance
邮箱/Email: lipp@sustc.edu.cn
电话/Phone: 8801-8606
办公室/office:慧园 3 栋 305, Wisdom Valley 3#305
9.
实验员/助教、所属学系、联系
方式
Tutor/TA(s), Contact
黄纯飞，金融系
Chunfei HUANG, Department of Finance
邮箱/Email:cfhuangnku@163.com
10.
选课人数限额(可不填)
Maximum Enrolment
（Optional）
授课方式
Delivery Method
讲授
Lectures
习题/辅导/讨论
Tutorials
实验/实习
Lab/Practical
其它(请具体注明)
Other（Please specify）
总学时
Total
11.
学时数
Credit Hours
48
48
2
12.
先修课程、其它学习要求
Pre-requisites or Other
Academic Requirements
微观经济学 Microeconomics FIN201
宏观经济学 Macroeconomics FIN204
金融投资概论 Introduction of Financial Investment FIN301
公司金融 Corporate Finance FIN206
13.
后续课程、其它学习规划
Courses for which this course
is a pre-requisite
14.
其它要求修读本课程的学系
Cross-listing Dept.
教学大纲及教学日历 SYLLABUS
15.
教学目标 Course Objectives
通过对中国经济和金融现象的介绍、分析和讨论，使学生对中国的经济环境和金融实践有一个较为全面的了解，增强学生
分析解决中国经济金融问题的能力，帮助学生使用金融学理论分析中国的金融现象，进而引导学生探索中国的金融学理
论。本课程主要涵盖的内容包括中国的经济发展模式、中国的货币政策和宏观调控、中国汇率问题及其改革、中国银行业
的改革、资本市场的发展历史、金融监管的变迁、中国的 IPO、并购基金、中国债券市场、商品期货和金融期货市场的发
展及演变、中国的金融创新以及金融科技等内容。其中，对于中国发展历程中的一些困惑，本课程也会做一些理论上的探
讨。
This course will provide information on China economics and finance, sharpen student’s skills in analysing china’s
economic and financial problems. Topics may include the below issues in China: Growth Model, Currency Policy,
Exchange Rate Reform, Banking Reform, Capital Market Development, Financial Regulation, IPO, M&A, Bond Market,
Futures and Options Market, Financial Innovation and FinTech.
16.
预达学习成果 Learning Outcomes
通过本课程的学习，提高学生对中国经济金融现象的理解和分析能力。让学生立足中国国情，将金融学理论在实践中学以
致用。
This course will improve students’ understanding of China’s economic and financial phenomena and encourage them to
apply financial theory into China’s financial practice.
17.
课程内容及教学日历 （如授课语言以英文为主，则课程内容介绍可以用英文；如团队教学或模块教学，教学日历须注明
主讲人）
Course Contents (in Parts/Chapters/Sections/Weeks. Please notify name of instructor for course section(s), if
this is a team teaching or module course.)
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第一讲 中国的经济发展模式（3 学时）
本讲将介绍中国改革开放 30 多年的发展成绩，主要从中国的比较优势、制度优势、渐近式改革几个方面进行分析，总结
中国的发展模式。中国的高速发展也带来了诸如环境污染、资源浪费等一系列问题，我们也将从发展的角度，对如何应对
这些问题和未来发展路径如何选择进行了详细的探讨。
Lecture1 Growth Model (3 hours)
This lecture will introduce the development achievements of China's reform and opening up for more than 30 years,
mainly from the prospective of China's comparative advantages, institutional advantages, and gradual reforms, and
summarize China's development model. China's rapid development has also brought about a series of problems such as
environmental pollution and waste of resources. We will also discuss in detail how to deal with these problems and how
to choose future development paths from a development perspective.
第二讲 中国的货币政策和宏观调控（3 学时）
本讲将向学生介绍货币政策这种宏观调控中不可或缺的重要工具，包括货币发行、利率、再贷款及公开市场业务等调控手
段。我国宏观调控的实践证明，货币政策在避免国民经济运行出现大起大落，保障宏观经济总量平衡中发挥着极其重要的
作用。
Lecture2 Currency Policy (3 hours)
This lecture will introduce students with the important tools that are indispensable in the macro-control of monetary
policy, including currency issuance, interest rates, refinancing and open market operations. The practice of China's
macroeconomic regulation and control proves that monetary policy plays an extremely important role in avoiding the ups
and downs of the national economy and ensuring the balance of macroeconomic aggregates.
第三讲 中国汇率问题及其改革 （3 学时）
本讲将向学生介绍我国汇率制度的形成机制和演变过程，并探讨我国汇率制度改革所产生的影响。在经济全球化的背景
下，人民币汇率制度改革涉及到政治，金融，贸易等多个领域，人民币汇率的变动也会对世界主要经济体带来较大的影
响。
Lecture3 Exchange Rate Reform (3 hours)
This lecture will introduce students with the formation mechanism and evolution process of China's exchange rate
system, and explore the impact of China's exchange rate system reform. In the context of economic globalization, the
reform of the RMB exchange rate system involves many fields such as politics, finance, and trade. Changes in the RMB
exchange rate will also have a great impact on the world's major economies.
第四讲 中国银行业的改革 （3 学时）
本讲将介绍中国银行业金融机构的结构、特征、功能、发展理论和体制改革历程。通过回顾中国银行业发展变迁的历程轨
迹来分析中国银行业改革对促进经济发展的作用，同时深入分析总结出我国银行业改革进程中的经验和教训，
Lecture4 Banking Reform (3 hours)
This lecture will introduce the structure, characteristics, functions, development theory and system reform process of
Chinese banking industry. Through reviewing the track of the development of China's banking industry, we will analyse
the role of China's banking reform in promoting economic development, and at the same time, summarize the
experiences and lessons learned in China's banking reform process.
第五讲 资本市场的发展历史（3 学时）
本讲将介绍我国资本市场从无到有，逐步发展并成为经济中重要组成部分的发展历程，学生将了解到中国资本市场在不同
阶段的发展状况和各个时期不断完善的法律制度，资本市场持续发展的各项要素和条件。
Lecture5 Capital Market Development (3 hours)
This lecture will introduce the development process of China's capital market which from scratch to become an important
part of the economy. Students will learn about the development of China's capital market at different stages and the
continuous improvement of the legal system in each period. The various elements and conditions for continues
development of the capital market.
第六讲 金融监管的变迁（3 学时）
本讲将介绍中国金融监管业的历史变迁，大致分为集中统一监管、分业监管体制、金融监管体制的不断完善三个阶段。金
融业的发展为推动中国特色社会主义的发展起到了重要的支持作用。而与之相随的是，日益复杂的金融业态乱象加剧了金
融风险的发生，这就要求金融监管必须随着改革开放的推进不断变革。
Lecture6 Financial Regulation (3 hours)
This lecture will introduce the history of China's financial supervision industry, which is roughly divided into three stages:
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centralized and unified supervision, separate supervision, and continuous improvement of financial supervision system.
The development of the financial industry has played an important supporting role in promoting the development of
socialism with Chinese characteristics. Meanwhile, the increasingly complicated financial industry chaos has aggravated
the occurrence of financial risks, which requires that financial supervision must be constantly changed with the
advancement of reform and opening up.
第七讲 中国的 IPO（3 学时）
本讲将介绍中国 IPO 制度变迁历程呈现的特点和趋势,包括不同历史条件下的 IPO 发审制度、定价制度、信息披露和法律
责任制度等。在我国渐进式市场化的 IPO 制度改革背景下,推进 IPO 制度的市场化、加强投资者保护、强化信息披露导向
及完善法律惩戒机制是我国 IPO 制度变迁中的焦点问题。
Lecture7 IPO (3 hours)
This lecture will introduce the characteristics and trends of the evolution of China's IPO system, including the IPO review
system, pricing system, information disclosure and legal liability system under different historical conditions. Under the
background of China's progressive market-oriented IPO system reform, promoting the marketization of IPO system,
strengthening investor protection, strengthening information disclosure and improving the legal disciplinary mechanism
are the focus of China's IPO system changes.
第八讲 并购基金（3 学时）
本讲将介绍并购基金的相关理论，对其基本含义及其特点、基本运作流程及基本投资步骤进行简要分析,让学生对并购基金
有整体上的把握。通过比较发达国家并购基金的投资模式分析中国并购基金发展的政策环境、金融环境和产业环境。
Lecture8 Merger and Acquisition (3 hours)
This lecture will introduce the