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題名 我國監理科技發展下某金融機構推動數位監理申報轉型之實務
作者 李筱梅
Lee, Hsiao-Mei
貢獻者 臧正運<br>廖志賢
Tsang, Cheng-Yun
李筱梅
Lee, Hsiao-Mei
關鍵詞 監理報表
資料品質
監理科技
數位監理申報
日期 2025
上傳時間 1-Sep-2025 15:29:45 (UTC+8)
參考文獻 Douglas W. Arner, Jànos Barberis & Ross P. Buckley, FinTech, RegTech, and the Reconceptualization of Financial Regulation, 37 Nw. J. Int'l L. & Bus. 371 (2017). https://scholarlycommons.law.northwestern.edu/njilb/vol37/iss3/2 Bank for International Settlements （BIS）.（2021）. Project Ellipse. Retrieved from https://www.bis.org/about/bisih/topics/suptech_regtech/ellipse.htm Basel Committee on Banking Supervision. (2022). *Evaluation of the impact and efficacy of the Basel III reforms*. Bank for International Settlements. https://www.bis.org/bcbs/publ/d541.htm Charoenwong, B., Heredia, P., Huang, J., & Jiang, W. (2024). RegTech: Technology-driven compliance and its effects on profitability, operations, and market structure. *Journal of Financial Economics, 153*(1), 103792. https://doi.org/10.1016/j.jfineco.2024.103792 Juan Carlos Crisanto, Katharina Kienecker, Jermy Prenio and Eileen Tan. （2020）. From data reporting to data-sharing: how far can suptech and other innovations challenge the status quo of regulatory reporting? （ No.29 ）. FSI Insights on policy implementation. Zetzsche, D. A., Buckley, R. P., Arner, D. W., & Barberis, J. N. （2020）. From FinTech to TechFin: The regulatory challenges of data-driven finance. New York University Journal of Law & Business, 16（2）, 245–288. Financial Conduct Authority （FCA）. （2015）. Regulatory Sandbox. Retrieved from https://www.fca.org.uk/publication/research/regulatory-sandbox.pdf Financial Conduct Authority （FCA）. （2018）. Call for Input: Using technology to achieve smarter regulatory reporting. Retrieved from https://www.fca.org.uk/publication/call-for-input/call-for-input-smarter-regulatory-reporting.pdf FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB. (2020) Retrieved from https://www.fca.org.uk/news/press-releases/fca-pra-fine-goldman-sachs-international-risk-management-failures-1mdb Federal Reserve Board. (2023, April 28). Review of the Federal Reserve’s supervision and regulation of Silicon Valley Bank. Board of Governors of the Federal Reserve System. https://www.federalreserve.gov/publications/files/svb-review-20230428.pdf Bhat, G., & Desai, H. (2023, March 26). Unraveling of Silicon Valley Bank: Causes and implications. Cox Today, SMU Cox School of Business. https://www.smu.edu/cox/coxtoday-magazine/2023-03-27-silicon-valley-bank-failure IBS Intelligence. (2024). *Global AML and regulatory fines jumped to $6.6bn in 2023, Fenergo finds*. https://ibsintelligence.com El Khoury, R., Halawi, L. A., & Achi, A. (2024). RegTech advancements – A comprehensive review of its evolution, challenges, and implications for financial regulation and compliance. *Journal of Financial Regulation and Compliance, 32*(2), 69–88. https://doi.org/10.1108/JFRA-05-2024-0286 Monetary Authority of Singapore （MAS）. （2019）. AIDA Guidelines: Promoting Fairness, Ethics, Accountability and Transparency in the Use of AI and Data Analytics in Singapore’s Financial Sector. Retrieved from https://www.mas.gov.sg PUMA Cooperation. https://www.cooperazionepuma.org/chi-siamo/index.html Phillips, T. (2023, March 15). How 2018 regulatory rollbacks set the stage for the Silicon Valley Bank collapse, and how to change course. Roosevelt Institute. https://rooseveltinstitute.org/blog/how-2018-regulatory-rollbacks-set-the-stage-for-the-silicon-valley-bank-collapse-and-how-to-change-course/ Feinstein, Z., Halaj, G., & Sojmark, A. (2024). The not-so-hidden risks of 'hidden-to-maturity' accounting: On depositor runs and bank resilience. arXiv. https://doi.org/10.48550/arXiv.2407.03285 金融監督管理委員會（金管會）（2020）。金融科技發展路徑圖報告書。https://www.fsc.gov.tw/websitedowndoc?file=chfsc/202012241229310.pdf&filedisplay=1090827%E9%87%91%E8%9E%8D%E7%A7%91%E6%8A%80%E7%99%BC%E5%B1%95%E8%B7%AF%E5%BE%91%E5%9C%96%E5%A0%B1%E5%91%8A%E6%9B%B8.pdf 金融監督管理委員會（金管會）（2023）。金融科技發展路徑圖報告書（2.0）。https://www.fsc.gov.tw/websitedowndoc?file=chfsc/202308161025340.pdf&filedisplay=%E9%87%91%E8%9E%8D%E7%A7%91%E6%8A%80%E7%99%BC%E5%B1%95%E8%B7%AF%E5%BE%91%E5%9C%96%282.0%29.pdf 金融監督管理委員會（金管會）銀行局（2019）。金管會對銀行辦理潤寅集團授信及存匯作業缺失予以核處，並對應收帳款融資(承購)業務採行通案強化措施。https://www.banking.gov.tw/ch/home.jsp?id=540&parentpath=0,524,539&mcustomize=news_view.jsp&dataserno=201910170003&aplistdn=ou=news,ou=multisite,ou=chinese,ou=ap_root,o=fsc,c=tw&dtable=News 金融監督管理委員會（金管會）（2018）。金管會對兆豐國際商業銀行遭美國聯邦準備理事會處分一事之說明。https://www.fsc.gov.tw/ch/home.jsp?id=96&parentpath=0,2&mcustomize=news_view.jsp&dataserno=201801180001&toolsflag=Y&dtable=News 周濟群（2019）。邁向自動化科技化監理－RegTech、RPA與持續性稽核。會計研究月刊，(407)，59-64。https://doi-org.proxyone.lib.nccu.edu.tw:8443/10.6650/ARM.201910_(407).0009 臧正運（2023）。金融監理數位化之研究：我國純網銀監理系統建置的行動者網絡分析。管理評論，42(2)，23-39。https://doi-org.proxyone.lib.nccu.edu.tw:8443/10.6656/MR.202304_42(2).CNI023
描述 碩士
國立政治大學
國際金融碩士學位學程
111ZB1001
資料來源 http://thesis.lib.nccu.edu.tw/record/#G0111ZB1001
資料類型 thesis
dc.contributor.advisor 臧正運<br>廖志賢zh_TW
dc.contributor.advisor Tsang, Cheng-Yunen_US
dc.contributor.author (Authors) 李筱梅zh_TW
dc.contributor.author (Authors) Lee, Hsiao-Meien_US
dc.creator (作者) 李筱梅zh_TW
dc.creator (作者) Lee, Hsiao-Meien_US
dc.date (日期) 2025en_US
dc.date.accessioned 1-Sep-2025 15:29:45 (UTC+8)-
dc.date.available 1-Sep-2025 15:29:45 (UTC+8)-
dc.date.issued (上傳時間) 1-Sep-2025 15:29:45 (UTC+8)-
dc.identifier (Other Identifiers) G0111ZB1001en_US
dc.identifier.uri (URI) https://nccur.lib.nccu.edu.tw/handle/140.119/159173-
dc.description (描述) 碩士zh_TW
dc.description (描述) 國立政治大學zh_TW
dc.description (描述) 國際金融碩士學位學程zh_TW
dc.description (描述) 111ZB1001zh_TW
dc.description.tableofcontents 第一章 背景與問題 1 第一節 研究動機與目的 1 第二節 各國推動數位監理申報的現況 3 第三節 我國推動數位監理申報的現況 9 第四節 國內各金融機構遵法趨勢 12 第二章 專題（案）目標（含資料收集方式） 14 第一節 專案目標 14 第三章 解決方案之落實與執行方法 19 第一節 系統解決方案分析 19 第二節 上述資訊工程之執行方法 26 第三節 業務遵循規劃-制度面的配套管理措施調整 51 第四章 解決方案施行之結果與貢獻 73 第一節 解決方案施行結果及效益 73 第五章 結論與建議（或其他衍生性成果） 77 第一節 專案進行過程之困難及改善作法 77 第二節 延伸應用 79 第三節 對我國實現數位監理申報之建議 81 第四節 後續可持續研究之方向 87 第五節 結語 89 參考文獻 90zh_TW
dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0111ZB1001en_US
dc.subject (關鍵詞) 監理報表zh_TW
dc.subject (關鍵詞) 資料品質zh_TW
dc.subject (關鍵詞) 監理科技zh_TW
dc.subject (關鍵詞) 數位監理申報zh_TW
dc.title (題名) 我國監理科技發展下某金融機構推動數位監理申報轉型之實務zh_TW
dc.type (資料類型) thesisen_US
dc.relation.reference (參考文獻) Douglas W. Arner, Jànos Barberis & Ross P. Buckley, FinTech, RegTech, and the Reconceptualization of Financial Regulation, 37 Nw. J. Int'l L. & Bus. 371 (2017). https://scholarlycommons.law.northwestern.edu/njilb/vol37/iss3/2 Bank for International Settlements （BIS）.（2021）. Project Ellipse. Retrieved from https://www.bis.org/about/bisih/topics/suptech_regtech/ellipse.htm Basel Committee on Banking Supervision. (2022). *Evaluation of the impact and efficacy of the Basel III reforms*. Bank for International Settlements. https://www.bis.org/bcbs/publ/d541.htm Charoenwong, B., Heredia, P., Huang, J., & Jiang, W. (2024). RegTech: Technology-driven compliance and its effects on profitability, operations, and market structure. *Journal of Financial Economics, 153*(1), 103792. https://doi.org/10.1016/j.jfineco.2024.103792 Juan Carlos Crisanto, Katharina Kienecker, Jermy Prenio and Eileen Tan. （2020）. From data reporting to data-sharing: how far can suptech and other innovations challenge the status quo of regulatory reporting? （ No.29 ）. FSI Insights on policy implementation. Zetzsche, D. A., Buckley, R. P., Arner, D. W., & Barberis, J. N. （2020）. From FinTech to TechFin: The regulatory challenges of data-driven finance. New York University Journal of Law & Business, 16（2）, 245–288. Financial Conduct Authority （FCA）. （2015）. Regulatory Sandbox. Retrieved from https://www.fca.org.uk/publication/research/regulatory-sandbox.pdf Financial Conduct Authority （FCA）. （2018）. Call for Input: Using technology to achieve smarter regulatory reporting. Retrieved from https://www.fca.org.uk/publication/call-for-input/call-for-input-smarter-regulatory-reporting.pdf FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB. (2020) Retrieved from https://www.fca.org.uk/news/press-releases/fca-pra-fine-goldman-sachs-international-risk-management-failures-1mdb Federal Reserve Board. (2023, April 28). Review of the Federal Reserve’s supervision and regulation of Silicon Valley Bank. Board of Governors of the Federal Reserve System. https://www.federalreserve.gov/publications/files/svb-review-20230428.pdf Bhat, G., & Desai, H. (2023, March 26). Unraveling of Silicon Valley Bank: Causes and implications. Cox Today, SMU Cox School of Business. https://www.smu.edu/cox/coxtoday-magazine/2023-03-27-silicon-valley-bank-failure IBS Intelligence. (2024). *Global AML and regulatory fines jumped to $6.6bn in 2023, Fenergo finds*. https://ibsintelligence.com El Khoury, R., Halawi, L. A., & Achi, A. (2024). RegTech advancements – A comprehensive review of its evolution, challenges, and implications for financial regulation and compliance. *Journal of Financial Regulation and Compliance, 32*(2), 69–88. https://doi.org/10.1108/JFRA-05-2024-0286 Monetary Authority of Singapore （MAS）. （2019）. AIDA Guidelines: Promoting Fairness, Ethics, Accountability and Transparency in the Use of AI and Data Analytics in Singapore’s Financial Sector. Retrieved from https://www.mas.gov.sg PUMA Cooperation. https://www.cooperazionepuma.org/chi-siamo/index.html Phillips, T. (2023, March 15). How 2018 regulatory rollbacks set the stage for the Silicon Valley Bank collapse, and how to change course. Roosevelt Institute. https://rooseveltinstitute.org/blog/how-2018-regulatory-rollbacks-set-the-stage-for-the-silicon-valley-bank-collapse-and-how-to-change-course/ Feinstein, Z., Halaj, G., & Sojmark, A. (2024). The not-so-hidden risks of 'hidden-to-maturity' accounting: On depositor runs and bank resilience. arXiv. https://doi.org/10.48550/arXiv.2407.03285 金融監督管理委員會（金管會）（2020）。金融科技發展路徑圖報告書。https://www.fsc.gov.tw/websitedowndoc?file=chfsc/202012241229310.pdf&filedisplay=1090827%E9%87%91%E8%9E%8D%E7%A7%91%E6%8A%80%E7%99%BC%E5%B1%95%E8%B7%AF%E5%BE%91%E5%9C%96%E5%A0%B1%E5%91%8A%E6%9B%B8.pdf 金融監督管理委員會（金管會）（2023）。金融科技發展路徑圖報告書（2.0）。https://www.fsc.gov.tw/websitedowndoc?file=chfsc/202308161025340.pdf&filedisplay=%E9%87%91%E8%9E%8D%E7%A7%91%E6%8A%80%E7%99%BC%E5%B1%95%E8%B7%AF%E5%BE%91%E5%9C%96%282.0%29.pdf 金融監督管理委員會（金管會）銀行局（2019）。金管會對銀行辦理潤寅集團授信及存匯作業缺失予以核處，並對應收帳款融資(承購)業務採行通案強化措施。https://www.banking.gov.tw/ch/home.jsp?id=540&parentpath=0,524,539&mcustomize=news_view.jsp&dataserno=201910170003&aplistdn=ou=news,ou=multisite,ou=chinese,ou=ap_root,o=fsc,c=tw&dtable=News 金融監督管理委員會（金管會）（2018）。金管會對兆豐國際商業銀行遭美國聯邦準備理事會處分一事之說明。https://www.fsc.gov.tw/ch/home.jsp?id=96&parentpath=0,2&mcustomize=news_view.jsp&dataserno=201801180001&toolsflag=Y&dtable=News 周濟群（2019）。邁向自動化科技化監理－RegTech、RPA與持續性稽核。會計研究月刊，(407)，59-64。https://doi-org.proxyone.lib.nccu.edu.tw:8443/10.6650/ARM.201910_(407).0009 臧正運（2023）。金融監理數位化之研究：我國純網銀監理系統建置的行動者網絡分析。管理評論，42(2)，23-39。https://doi-org.proxyone.lib.nccu.edu.tw:8443/10.6656/MR.202304_42(2).CNI023zh_TW