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.
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 3 305, Wisdom Valley 3#305
9.
/
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(不填)
Maximum Enrolment
Optional
授课方式
Delivery Method
习题/辅导/讨论
Tutorials
实验/实习
Lab/Practical
其它(请具体注明)
OtherPlease specify
总学时
Total
11.
学时数
Credit Hours
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)
本讲将介中国革开 30 多年的发成绩主要从中的比优势制度优势渐近改革几个面进分析,总
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)
。在
要经
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 IPO3 学时)
本讲将介中国 IPO 制度迁历程呈的特点和,不同历史件下 IPO 发审制度、定制度、信披露法律
责任制度。在我国进式市场 IPO 制度改背景,推进 IPO 制度市场化、强投资者护、强化息披导向
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 relevant theories of M&A funds, briefly analyse their basic meanings and characteristics,
basic operational procedures and basic investment steps, students will have an overall understanding of M&A funds. By
comparing the investment models of M&A funds in developed countries, we will analyse the policy environment, financial
environment and industrial environment of China M&A funds.
第九讲 中国债券市 3 学时)
本讲将介绍中国债券市场发展的基本背景以及债券市场融资和财富管理的重要职能。让学生认识到财政和货币政策通过债
券市场实施的理论逻辑,财政和货币政策目标实现与债券市场的现实关联,以及目前财政和货币政策通过债券市场实施和
相互协调所面临的现实问题。
Lecture9 Bond Market (3 hours)
This lecture will introduce the basic background of the development of the Chinese bond market and the important
functions of bond market financing and wealth management. Sudents will recognize the theoretical logic of fiscal and
monetary policy implementation through the bond market, the real relevance of fiscal and monetary policy objectives to
the bond market, and the real problems faced by current fiscal and monetary policies through the bond market
implementation and coordination.
第十讲 商品期货和金融期货市场的发展及演变(3 学时)
本讲将介绍中国期货市场的发展历程,大致可以分为初期发展阶段,清理整顿阶段和逐步规范阶段。中国期货市场的发展
对于深化资本市场改革,完善资本市场体系,发挥资本市场功能具有重要意义。
Lecture10 Futures and Options Market (3 hours)
This lecture will introduce the development process of China's futures market, which can be roughly divided into the
initial development stage, the clean-up stage and the gradual standardization stage. The development of China's futures
market is of great significance for deepening the reform of the capital market, improving the capital market system, and
exerting the function of the capital market.
第十一讲 中国的金融创新(3 学时)
本讲将介绍我国为适应经济发展在金融产品、金融服务、金融工具和金融市场等方面的创新。实体经济对金融创新的需求
在不断增长,在金融体制改革不断推进的过程中,国外金融机构广泛介入我国金融市场直接带来了金融创新业务,市场化
竞争也迫使国内金融机构不断寻求创新。
Lecture11 Financial Innovation (3 hours)
This lecture will introduce China's innovations in financial products, financial services, financial instruments and financial
markets to adapt to the economic development. The demand for financial innovation in the real economy is growing. In
the process of continuous reform of the financial system, the extensive involvement of foreign financial institutions in
China's financial market has directly brought about financial innovation business. Market competition has also forced
domestic financial institutions to continuously seek innovation.
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第十二讲 金融科技(3 学时)
本讲将介金融技的念与起源,照时对金融科的发历程行整体呈,并对国金科技的发现状行多
位的阐释。金融科技的核心是利用大数据、云计算、物联网、人工智能等新兴技术改造或创新金融产品、经营模式和业务
流程,从而降低金融交易成本,拓展金融发展广度与深度。
Lecture12 FinTech (3 hours)
This lecture will introduces the concept and origin of financial technology, and explains the development status of
China's financial technology in multi-dimensional. The core of financial technology is to transform or innovate financial
products, business models and business processes with emerging technologies such as big data, cloud computing,
Internet of Things, artificial intelligence, etc., thereby reducing financial transaction costs and expanding the breadth and
depth of financial development.
第十三讲 中国国有企业改革(3 学时)
本讲将对国有企业的含义、起源、存在的必要性、国有企业的效率所在进行理论上的分析,同时对国有企业改革进行脉络
梳理与经验总结。中国国有企业改革可划分为改革的初步探索、制度创新以及纵深推进三个阶段。国企改革是中央推动与
地方实践上下结合的产物,本质上是生产力与生产关系的相互作用,符合建设社会主义市场经济的客观需要。
Lecture13 State-Owned Enterprises Reform (3 hours)
This lecture will theoretically analyse the meaning, origin, necessity and efficiency of state-owned enterprises, and at the
same time, summarize the reform of state-owned enterprises. The reform of China's state-owned enterprises can be
divided into three stages: preliminary exploration of reform, institutional innovation and deepening of progress. The
reform of state-owned enterprises is the product of the combination of central promotion and local practice. It is
essentially the interaction between productivity and production relations, and is in line with the objective needs of
building a socialist market economy.
第十四讲 中国 14 大以来的经济政策和经济制度的变化(3 学时)
本讲将介中国 14 大提构建社会义市经济以来经济展开高度计划济向加灵活的场经转换,社
经济体制由国家向人民转变,减少了政府职责,增加了社会财富的生成机制,人民生活水平大幅度提高。
Lecture14 Economic Policy and Institution Transformation since 14th National Congress of CPC (3 hours)
This lecture will introduce China's development of the socialist market economy from the 14th National Congress.
Economic development began to shift from a highly planned economy to a more flexible market economy, the social
economic system changed from the state to the people, reduced government responsibilities, and increased the
formation mechanism of social wealth. The people's living standards have increased substantially.
第十五讲 中国金融的市场化改革和渐进性改革套 3 学时)
本讲将介绍中国金融的市场化改革和渐进性改革套利。由于套利机会的存在,使得国内各个金融监管部门独自的市场化努
力,对建立定价体系往往收效甚微。对于中国金融发展和改革而言,在对金融体系采取市场化改革方案时,也要同时对产
生套利机会的制度和体制予以关注并进行必要的改革。
Lecture15 Reform of China’s Financial Market and Gradual Reform Arbitrage (3 hours)
This lecture will introduce the marketization reform and gradual reform arbitrage of China's finance. Due to the existence
of arbitrage opportunities, the independent marketization efforts of various financial regulatory authorities in China have
little effect on the establishment of pricing systems. For China's financial development and reform, expect adopting a
market-oriented reform plan for the financial system, it is also necessary to pay attention to the systems and institutions
that generate arbitrage opportunities and carry out necessary reforms.
第十六讲 中国资产证券化市场的发展介绍(3 学时
本讲将介绍中国资产证券化市场的基本结构特征,分析中国主要资产证券化市场相关制度的共性和差异性。学生可以从产
品的交易结构视角了解中国资产证券化市场的各项机制。
Lecture16 Securitization in China (3 hours)
This lecture will introduce the basic structural characteristics of China's asset securitization market, analyse the
commonalities and differences of the relevant systems of China's major asset securitization market. And students can
understand the various mechanisms of China's asset securitization market from the perspective of product transaction
structure.
18.
教材及其它参考资料 Textbook and Supplementary Readings
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卡尔﹒波兰尼, 巨变:我们时代的政治经济起源 Karl Polany, The Great Transformation: The Political and Economic
Origins of Our Time
林毅夫:解读中国经济 Justin Lin : Economic development and Transition: Thought Strategy and Viability
卡尔. 沃尔特:红色资本 Carl E. Walter: Red Capitalism
课程评估 ASSESSMENT
19.
评估形式
Type of
Assessment
评估时间
Time
占考试总成绩百分比
% of final
score
违纪处罚
Penalty
备注
Notes
出勤 Attendance
10
课堂表现
Class
Performance
小测验
Quiz
课程项目 Projects
30
平时作业
Assignments
期中考试
Mid-Term Test
期末考试
Final Exam
40
期末报告
Final
Presentation
20
其它(可根据需
改写以上评估方
式)
Others (The
above may be
modified as
necessary)
20.
记分方式 GRADING SYSTEM
A. 十三级等级制 Letter Grading
B. 二级记分制(通/不通过) Pass/Fail Grading
课程审批 REVIEW AND APPROVAL
21.
本课程设置已经过以下责任人/员会审议通过
This Course has been approved by the following person or committee of authority