一、中文部分
(一)專書
方嘉麟，信託法之理論與實務，元照出版有限公司，2003年3月。
王文宇，民商法理論與經濟分析(二)，元照出版有限公司，2003年4月。
王文宇、黃金澤、邱榮輝合著，金融資產證券化之理論與實務，元照出版公司，2003年2月。
王文宇等人合著，金融法，元照出版有限公司，2013年9月七版第1刷。
王志誠，金融資產證券化立法原理與比較法制，五南圖書出版股份有限公司，2005年3月二版1刷。
余雪明，證券交易法，財團法人證券暨期貨市場發展基金會，2003年4月四版。
辛喬利，影子銀行的金錢王國—透析華爾街操縱世界的金融投資工具，梅霖文化事業有限公司，2011年8月4日。
林全等人合著，經濟學，華泰出版公司，2012年5月改版。
洪慧芳譯，大賣空：預見史上最大金融浩劫之投資英雄傳，財信出版公司，2011年4月。
秦義虎編著，看懂世界是部金融史，上奇時代出版公司，2012年4月出版。
許可達、闕旭玲翻譯，Peter Martin and Brono Hollnagel原著，歷史上的投機事業，左岸文化出版公司，2003年8月。
許雅淑、李宗義翻譯，John Kenneth Galbraith原著，金融狂熱簡史，群學出版有限公司，2013年10月。
陳以禮翻譯，James Owen Weatheral原著，華爾街的物理學家，遠見天下文化出版股份有限公司，2014年2月26日。
黃志典，貨幣銀行學概論，前程出版公司，2012年6月三版。
臧大年、謝哲勝、鄭惠佳合著，不動產抵押貸款債券證券化，翰蘆出版有限公司，2000年元月。
齊思賢翻譯，Edward Chancellor原著，貪婪時代，時報文化出版公司，1999年10月。
劉連煜，新證券交易法實例研習，元照出版公司，2014年9月增訂12版第1刷。
蕭瑞臨，不用數字的研究---鍛鍊深度思考利的質性研究，台灣培升教育出版公司，2012年二版。
賴英照，股市遊戲規則-最新證券交易法解析，作者自版， 2014年2月第三版。
儲蓉，金融資產證券化理論與案例分析，臺灣金融研訓院，2006年8月修訂二版。
謝易宏，企業與金融法制的昨是今非，五南出版公司，2008年4月二版一刷。
謝哲勝，信託法，元照出版公司，2007年3月二版第1刷。
謝哲勝、陳亭蘭合著，不動產證券化法律與制度運作，翰蘆圖書出版有限公司，2006年5月修訂2版。
謝哲勝主編，法律經濟分析，五南圖書出版股份有限公司，2007年5月。

(二)期刊論文
中央銀行，金融穩定報告，第4期，頁1-90，2010年5月。
王文宇，不動產證券化法制評析，法令月刊，第53卷第5期，頁28-39，2002年5月。
王文宇，金融法發展專題回顧:國際視野與本土反思(01.2000-06.2010)，臺大法學論叢，第40卷特刊，頁1945-1993，2011年10月。
王文宇，金融資產證券化之法律架構與管制爭議，台大法學論叢，第32卷第2期，頁197-285，2002年
3月。
王文宇，資產管理公司政策與法制問題研究，台灣金融財務季刊，第1卷第2期，頁13-33，2000年12月。
王文宇，資產證券化之交易架構與考量因素，法令月刊，第53卷第11期，頁18-58，2002年11月。
王志誠，不動產受益證券之發行與投資人保護機制，律師雜誌，第295期，頁54-79，1993年4月。
王志誠，日本金融資產證券化之法制架構與啟發，中正大學法學叢刊，第5期，頁207-261，2001年7月。
王儷容，影子銀行的過去與未來，銀行公會會訊，第83期，頁1-5，2014年9月。
甘雯綺，影子銀行的監理架構與問題，中央銀行國際金融參考資料，第65輯，頁70-94，2013年6月。
汪信君，信用評等機構監理規範之發展與困境，問責基礎與利益衝突，臺大法學論叢，第42卷第4期，頁1333-1385，2013年12月。
卓俊雄、曾耀鋒，房貸壽險實務運作與相關法律問題之探討，東海大學法學研究，第41期，頁129-182，2013年8月。
林左裕，再論美國次級房貸風暴對我國金融資產證券化、估價制度及投資者之啟示，土地問題研究季刊，第8卷第3期，頁18-34，2009年9月。
林左裕，美國次級房貸風暴對台灣金融資產證券化及投資者之啟示，住宅學報，第17卷第1期，頁111-123，2008年6月。
林俊銘，美國Dodd-Frank Act 有關證券化利益衝突規範之評析---給台灣的借鏡，財產法暨經濟法，第37期，頁59-106，2014年3月。
林俊銘，投射更多的燈光在影子銀行上---其本質、問題及規範初探，財產法暨經濟法，第41期，頁29-93，2015年3月。
林黎華，信用評等機構規範之研究，法令月刊，第64卷第10期，頁85-114，2013年10月。
邵慶平，金融管制與私人執行--國際金融危機後管制發展的反省，國立中正大學法學集刊，第40期，頁95-141，2013年7月。
邵慶平，證券交易法第20條第1項之民事責任主體不及於次要行為人？：以企業財報不實類型案例為中心，臺大法學論叢，第42卷第1期，頁171-214，2013年3月。
莊永丞，對信用評等機構應有規範之比較研究，臺大法學論叢，第40卷第4期，頁2249-2321，2011年12月。
莊永丞，論證券交易法第二十條證券詐欺損害賠償責任之因果關係，中原財經法學，第8期，頁147-184，2002年6月。
莊萱如、甘雯綺譯，認識影子銀行的固有風險：入門與實務經驗，中央銀行國際金融參考資料，第66輯，頁143-184，2014年6月。
郭秋榮，主要國家金融監理制度變革及其對我國之啟示--兼論我國規劃的行政院金融監督管理委員會，經濟研究，第2期，頁109-128，2002年3月。
陳肇鴻，連動債糾紛之司法實踐--2009至2010年間相關判決之研究，中研院法學期刊，第10期，頁161-223，2012年3月。
彭德明、方耀，歐洲主權債務危機與歐元區的未來，國際金融參考資料第60輯，中央銀行，頁1-26，2010年12月。
黃仲豪，「信用評等事業管理規則」暨「信用評等事業業務章則重點規範」修正重點，證券暨期貨月刊，第29卷第3期，頁25-31， 2001年3月16日。
楊蓁海，我國金融機構轉投資相關問題之探討，中央銀行季刊，第30卷第2期，頁45-80，2008年6月。
廖麗娟，資產證券化「真實買賣」之認定對保障投資的影響--從會計與稅務面探討，證券暨期貨月刊，第21卷第10期，頁42-55，2003年10月。
蔡進財，我國金融安全網建構之問題探討與挑戰，台灣金融財務季刊，第6輯第3期，頁15-34，2005年9月。
鄭琇霙，美國2010金融改革法店頭衍生性商品集中結算之研究，期貨與選擇權學刊，第5卷第2期，頁29-84，2012年11月。
儲蓉，不良債權證券化---金融重建的另一種選擇，台灣金融財務季刊，第4卷第4期，頁1-37，2003年12月。
儲蓉，對發展信用評等應有的態度與做法，經濟情勢暨評論季刊，第5卷第1期，頁51-74，1999年6月。
謝哲勝，不動產證券化之研究，台大法學論叢，第27卷第1期，頁265-322，1997年10月。

(三)學位論文
邱天一，金融危機後證券化法制改革之研究，東海大學法律學研究所102學年度博士論文，2014年6月。
林俊銘，金融機構跨業併購法制建構及芻議，中原大學財經法律研究所90學年度碩士論文，2001年1月。
秦慧君，不良債權證券化之研究---以行政院金融重建基金為中心，輔仁大學法律研究所92學年度碩士論文，2004年7月。
陳芳儀，信用評等機構之規範研究，東吳大學法學院法律研究所100學年度碩士論文，2011年9月。
陳郁庭，金融資產證券化法制之檢討，輔仁大學法律研究所92學年度碩士論文，2004年6月。
楊文山，金融控股公司退場機制之研究—兼論系統性重要金融機構，東吳大學法學院法律學系102學年度博士論文，2013年6月。
鍾湘君，金融不良資產證券化之研究，中原大學財經法律研究所93學年度碩士論文。

(四)研究報告
王儷容主持，金融海嘯後主要國家總體審慎監理趨勢與監理架構之比較及對我國金融監理之建議，行政院金融監督管理委員會2011年度委託研究計劃，2011年12月。
李桐豪、王文宇主持，金融機構辦理證券化業務風險控管之研究，行政院金融監督管理委員會銀行局委託研究計畫案，2008 年12月31日。
周行一主持，2008 年全球金融海嘯下，國際新金融規範發展及我國之因應策略，行政院金融監督管理委員會2010年度委託研究計劃，2010年12月。

(五)其他資料
財務會計準則公報第33號「金融資產之移轉及負債消滅之會計處理準則」
財政部2000年12月5日（89）台財融（一）字第89772314號函
財政部2003年6月20日台財融(四)字第0928010999號令
金管會2004年1月20日金管證二字第0940145833令
行政院金融監督管理委員會2010年10月28日金管證發字第0990058578號令
金管會銀行局2011年1月12日銀局(法)字第10000433130號函
金管會2015年1月21日金管證券字第10300522234號令

(六)網路連結
金融監督管理委員會統計資訊/金融業務資訊揭露/台灣資產證券化商品統計表(2008年12月核准統計表) 參考網址: http://www.fsc.gov.tw/ch/home.jsp?id=134&parentpath=0,4 (瀏覽日期2016年3月15日)
陳碧芬，「淪為信託殖民地，台灣無力可回天」，工商時報報導，2010年8月16日。參考網址: http://blog.udn.com/tpa285/4327283 (最後瀏覽日2016年4月10日)
信用評等事業管理規則部分條文修正總說明，參考網址: http://www.fsc.gov.tw/ch/home.jsp?id=128&parentpath=0,3&mcustomize=lawnew_view.jsp&dataserno=201512310002&toolsflag=Y&dtable=NewsLaw (最後瀏覽日2016年4月10日)
中國大陸銀行監督管理委員會發布了「中國大陸銀行業監督管理委員2012年報」參考網址http://www.cbrc.gov.cn/chinese/home/docView/5F0858ECD7B442AA8B56365B2992E8B1.html (最後瀏覽日期:2015年1月6日)
香港金融發展局主席史美倫在中國青島舉行之「2014金家嶺財富論壇」中演講參考網址: http://finance.sina.com.cn/hy/20140621/174819483137.shtml(最後瀏覽日期2015年1月27日)

二、外文部分
(一)專書
Anand, Sanjay, Essentials of the Dodd-Frank Act, John Wiley & Sons, Inc. (2011).
Arrow, Kenneth J., Essays in the Theory of Risk-Bearing, The University of Chicago Press (January 1, 1971).
Baldwin, Robert, Martin Cave, and Martin Lodge, Understanding Regulation—Theory, Strategy, and Practice (2nd ed., 2011).
Coffee Jr., John C., Gatekeepers: The Professions and Corporate Governance (2006).
Fabozzi, Frank J. ed., The Handbook of Mortgage-Backed Securities, McGraw-Hill (1985)
Frankel, Tamar, Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Fathom Pub. Co. (2nd ed., 2005).
Hay, Peter, An Introduction to United States Law, North-Holland Publishing Company (1976).
Langohr, Herwig M. & Patricia T. Langohr, The Rating Agencies and their Credit Ratings: What they are, How they Work and Why they are Relevant, John Wiley and Sons (2008).
Lewis, Michael, The Big Short: Inside the Doomsday Machine, W. W. Norton & Company (2010).
Lovett , William A. Lovett, Banking and Financial Institutions Law in a Nutshell, Thomson/West (2005).
Macey, Jonathan R. and Geoffery P. Miller, Banking Law and Regulation, Aspen Law & Business (1997)
Mishkin, Frederic S. & Stanley G. Eakins, Financial Markets and Institutions, Prentice Hall, (2011).
Moore, Don A. et al. ed., Conflicts of Interest --Challenges and Solutions in Business, Law, Medicine and Public Policies, Cambridge University Press (2005).
Padoa-Schioppa, Tommaso, Regulating Finance: Balancing Freedom and Risk, Oxford University Press (2004).
Pratt, John W. and Richard Zeckhausereds, Principals and Agents: The Structure of Business, Harvard Business School Press (2005).
Santomero, Anthony & David Babbel, Financial Markets and Instruments, McGraw-Hill/Irwin (2nd ed., 2000).
Schwarcz,Steven L., Structured Finance, A Guide to the Principles of Asset Securitization, Practising Law Institute (1993).
Walker, Rebecca, Conflicts of Interest in Business & Professions: Law And Compliance, Thomson/West (2007).


(二)期刊論文
Akerlof, George A., The Market for “Lemons”: Quality Uncertainty and the Market Mechanism, 84 Q. J. Econ. 488-500 (1970).
Antle, Rick, Auditor Independence, Journal of Accounting Research Vol. 22(1) 1-20 (1984).
Ashworth II, Luther R., Is Hedge Fund Adviser Registration Necessary to Accomplish the Goals of the Dodd-Frank Act's Title IV?, 70 Wash & Lee L. Rev. 651-703 (2013).
Bai, Lynn, On Regulating Conflicts of Interest in the Credit Rating Industry, 13 N.Y.U. J. Legis. & Pub. Pol’y 253-313 (2010).
Baker, Tom, On the Genealogy of Moral Hazard, 75 Tex. L. Rev.237-292 (1996).
Barr, Michael S., The Financial Crisis and the Path of Reform, 29 Yale J. on Reg. 91-119 (2012).
Bernanke, Ben S., The Future of Mortgage Finance in the United States, 9 B.E. J. Econ. Analysis & Pol'y 1-9 (2009).
Beville, Matthew, Financial Pollution: Systemic Risk and Market Stability, 36 Fla. St. U. L. Rev. 245-274 (2009).
Born, Brooksley, Foreword: Deregulation: A Major Cause of the Financial Crisis, 5 Harv. L. & Pol'y Rev. 231-243 (2011).
Borod, Ronald S., Belling the Cat: Taming the Securitization Beast without Killing it, 31 Rev. Banking & Fin. L.643-673 (2011-2012).
Brighton, Chloe, X. The Finalized Volcker Rule, 33 Rev. Banking & Fin. L. 514-524 (2013-2014).
Cane, Marilyn Blumberg, Adam Shamir and Tomas Jodar, Below Investment Grade and above the Law: A Past, Present and Future Look at the Accountability of Credit Rating Agencies, 17 Fordham J. Corp. & Fin. L. 1063-1126 (2012).
Carroll, Matthew F., The Dodd-Frank Act and the Changing Landscape of Alabama Mortgage and Foreclosure Litigation, 75 Ala. Law. 166-171 (2014).
Coase, R.H., The Problem of Social Cost, 3 J.L. & Econ. 1-44 (1960).
Coffee Jr., John C., Gatekeeper Failure and Reform: The Challenges of Fashioning Relevant Reforms, 84 B. U. L. Rev. 301-353 (2004).
Coffee Jr., John C., What Went Wrong? : An Initial Inquiry into the Causes of the 2008 Financial Crisis, 9 J. Corp. L. Stud. 1-22 (2009).
Coffee, John C. Jr., The Political Economy of Dodd-Frank: Why Financial Reform Tends to Be Frustrated and Systemic Risk Perpetuated, 97 Cornell L. Rev. 1019-1065(2012).
Coffee, Jr., John C., Ratings Reform: The Good, The Bad, and The Ugly, 1 Harv. Bus. L. Rev. 231-278 (2011).
Coffee, Jr., John C., The Mortgage Meltdown and Gatekeeper Failure, N.Y. L.J. 1-5(Sept. 20, 2007).
Colesa, Jeffrey L., Naveen D. Daniel & Lalitha Naveen, Managerial Incentives and Risk-taking, 79 Journal of Financial Economics 431-468 (2006).
Darcy, Deryn, Credit Rating Agencies and the Credit Crisis: How the "Issuer Pays" Conflict Contributed and what Regulators Might do About it?, 2009 Colum. Bus. L. Rev. 605-633 (2009).
Deborah A. DeMott, The Lawyer as Agent, 67 Fordham L. Rev. 301-326(1998).
Deckan, Neal, Criticisms of Collateralized Debt Obligations in the Wake of the Goldman Sachs Scandal, 30 Rev. Banking & Fin. L. 407-442 (2011).
Dodd, Randall, Subprime: Tentacles of a Crisis, Finance and Development 44(4) 15-19 (December 2007).
Eggert, Kurt, Held up in Due Course: Predatory Lending, Securitization, and the Holder in Due Course Doctrine, 35 Creighton L. Rev. 503-640 (2002).
Eggert, Kurt, The Great Collapse: How Securitization Caused the Subprime Meltdown, 41 Conn. L. Rev. 1257-1312 (2009).
Eisner, Marc Allen, Before the Third Act: Crony Capitalism and the Origins of the Financial Crisis, 11 Geo. J.L. & Pub. Pol'y 391-410 (2013).
Ellis, Nan S., Lisa M. Fairchild and Frank D'Souza, Conflicts of Interest in the Credit Rating Industry after Dodd-Frank: Continued Business as Usual?, 7 Va. L. & Bus. Rev. 1-26 (2012).
Ellis, Nan S., Lisa M. Fairchild and Frank D'Souza, Is Imposing Liability on Credit Rating Agencies a Good Idea?: Credit Rating Agency Reform in the Aftermath of the Global Financial Crisis, 17 Stan. J.L. Bus. & Fin. 175-221 (2012).
Fama, Eugene F. and Michael C. Jensen, Separation of Ownership and Control, Journal of Law and Economics, Vol. 26(2) 301-325 (1983).
Fama, Eugene F., Agency Problems and the Theory of the Firm, The Journal of Political Economy, Vol. 88(2) 301-325 (1980).
Frankel, Tamar, Cross-Border Securitization: Without Law, but not Lawless, 8 Duke J. Comp. & Int’l L.255-282 (1998).
Frankel, Tamar, Private Investment Funds: Hedge Funds’ Regulation by Size, 39 Rutgers L.J. 657-680 (2008).
Freeman, John P. and Steward L. Brown, Mutual Fund Advisory Fee: The Cost of Conflicts of Interest, 26 Journal of Corporate Law 609-673 (2001).
Freeman, Lisbeth, Who's Guarding the Gate? Credit-Rating Agency liability as "Control Person" in the Subprime Credit Crisis, 33 Vt. L. Rev. 585-619 (2009).
Friedma, Marilyn, Cronyism or Public Benefit: To Bail Out or Not to Bail Out: Moral Hazard and Other Ethical Considerations, 11 Geo. J.L. & Pub. Pol'y 411-422 (2013).
Gannon, Jr., Jack T., Let's Help The Credit Rating Agencies Get it Right: A Simple Way to Alleviate a Flawed Industry Model, 31 Rev. Banking & Fin. L. 1015-1052 (2012).
Gannon, Jr., Jack, X.Credit Rating Agency Independence, 30 Rev. Banking & Fin. L. 82-92 (2011).
Gary, Alison K., Creating a Future Economic Crisis: Political Failure and the Loopholes of the Volcker Rule, 90 Or. L. Rev. 1339-1372 (2012).
Goralnik, Nathan, Bankruptcy-Proof Finance and the Supply of Liquidity, 122 the Yale L.J. 460-506 (2012).
Grinshteyn, Allana M., Horseshoes and Hand Grenades: The Dodd-Frank Act's (Almost) Attack on Credit Rating Agencies, 39 Hofstra L. Rev. 937-978 (2011).
Gubler, Zachary J., Regulating in the Shadows: Systemic Moral Hazard and the Problem of the Twenty-First Century Bank Run, 63 Ala. L. Rev 221-273 (2012).
Gucwa, Robert G., The 2007 Collapse in Securitization: A Case for Regulatory Reform, 14 N.Y.U. J. Legis. & Pub. Pol’y 245-280 (2010).
Gudzowski, Milosz, Mortgage Credit Ratings and the Financial Crisis: The Need for a State-Run Mortgage Security Credit Rating Agency, 2010 Colum. Bus. L. Rev. 245-272 (2010).
Haghshenas, Parisa, Obstacles to Credit Rating Agencies' First Amendment Defense in Light of Abu Dhabi, 8 First Amend. L. Rev. 452-499 (2010).
Hamdani, Assaf, Gatekeeper Liability, 77 S. Cal. L. Rev. 53-121 (2003).
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