金融学（国际学生 英文授课）博士研究生培养方案
Academic Plan of PhD Degree in Finance Major for International Student
学院 School | 金融学院 School of Finance | 培养类别 Program type | √国际学生(博,英文) International students Ph.D, (Taught in English) | ||||||||||||
一级学科名称 First level discipline | 应用经济学 Applied Economics | 一级学科代码 First level discipline code | 0202 | ||||||||||||
适用年级 Grade | 从 2022 级开始适用 From 2022 | 修订时间 Time of revision | 2022年5月 May, 2022 | ||||||||||||
覆盖专业 Specialties | 专业名称：金融学（020204） Specialty：Finance (020204) | ||||||||||||||
基本学制 Length of schooling | 博士国际学生4年。 4 years for PhD degree international student. | ||||||||||||||
学分 Credit | 博士（国际学生）：总学分≥18学分，其中学位课学分≥18学分，非学位课学分自行选修 Ph.D Candidates: overall credits ≥ 18 credits, credits of degree course ≥ 18credits | ||||||||||||||
培养目标 Educational objectives | 1、对中国的认识和理解（Knowledge and understanding of China） 国际学生应当熟悉中国历史、地理、社会、经济等中国国情和文化基本知识，了解中国政治制度和外交政策，理解中国社会主流价值观和公共道德观念，形成良好的法治观念和道德意识。 International students should be familiar with the basic knowledge of China's national conditions and culture such as Chinese history, geography, society, and economy, understand China's political system and foreign policy, understand the mainstream values of Chinese society and public morality, and form a good concept of the rule of law and moral awareness.
2、跨文化和全球胜任力（Cross-cultural and global competencies） 国际学生应当具备包容、认知和适应文化多样性的意识、知识、态度和技能，能够在不同民族、社会和国家之间的相互尊重、理解和团结中发挥作用。 International students should have the awareness, knowledge, attitudes and skills to embrace, recognize and adapt to cultural diversity, and be able to function in mutual respect, understanding and solidarity among different peoples, societies and nations. 国际学生应当在本学科领域中具有宽阔的国际视野，能够在世界范围内创新运用和发展本学科的理论、技能和方法，在国际事务中具有竞争优势。 International students should have a broad international perspective, be able to innovatively apply and develop the theories, skills and methods of this discipline around the world, and have a competitive advantage in international affairs.
3、汉语水平（Chinese language proficiency） 应当能够顺利使用英语完成本学科、专业的学习和研究任务，并具备使用英语从事本专业相关工作的能力；毕业时中文能力应当至少达到《国际汉语能力标准》三级水平。 International students should be able to successfully use English to complete the study and research tasks of the discipline and major, and have the ability to use English to engage in the relevant work of the major; their Chinese proficiency should at least reach Level 3 of HSK when they graduate.
4、本专业培养学生要求掌握金融学科坚实宽厚的基础理论和系统深入的专业知识，同时掌握一定的相关学科知识，有较强的调查研究能力、定性与定量分析能力、计算机应用能力和较高外语水平，能够从事独创性的科学研究工作。身心健康，能胜任金融领域的高层次研究和教学工作，或政府有关经济、金融管理部门、金融机构和企业的高层次管理工作。 This program equips students with firm foundation, systematic study and comprehensive understanding of the field of finance. Concurrently, this program develops a firm grasp of knowledge in related fields, strong qualitative and quantitative research strategy, programming skills, and proficiency in foreign language in order to conduct research with originality. Students are expected to be capable of teaching and conducting research in the field of finance, engaging in senior level positions in private or public entities related to economics and financial regulation, or working as senior members of financial institutions.
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科研能力及创新培养等要求 Research capacity and Innovation training | 正常毕业博士生在申请学位论文答辩前，必须在国内外公开发行的学术刊物上发表学术论文1篇以上（含1篇），并撰写调研报告、学术会议论文等2篇以上（含2篇） 上述学术科研成果（含课题）均须是在学期间（入学注册日——申请学位论文答辩截止日）取得，且均须以中南财经政法大学为第一署名单位。 博士研究生在校期间，必须结合导师的课题参加创新课题研究，参加与本学科专业有关的学术会议、博士生论坛等各种形式的学术交流活动，尽可能外出调研和进行学位论文的资料搜集工作，通过参与各级研究生创新计划项目等不同渠道和方式积极开展科研创新活动，从事具有前沿性和开拓性的研究工作，发表高水平的学术论文、学术著作或撰写社会调查报告，取得具有创新性的科研成果。 Each PhD candidate is required to (1) publish at least one article on academic journal, either domestic or international journal; (2) write at least two academic reports or conference papers before applying for thesis defense. All publications mentioned should be completed during students’ course of study in ZUEL (before apply for thesis defense), and should make ZUEL as the signature unit of the first author. All PhD candidates need to conduct field research related to the research topic of both the student and their advisor, join field-related forums or research conferences, and collect data and literature related. Students are expected to conduct original, cutting-edge research, publish high-quality research findings through various university funded and government funded projects. | ||||||||||||||
培养方式 Training mode | 博士研究生培养实行导师组领导下的导师负责制，坚持导师负责制与导师组集体培养相结合，系统、前沿的理论学习与广泛的社会实践相结合，坚持因材施教，注重博士生思想政治教育。 博士生培养以科学研究为主，着重培养博士生独立从事科学研究的能力、开展创造性科学研究的方法和严谨的科学作风。根据培养目标的要求，通过基础理论课程和专业课程学习，使博士生具备坚实的理论基础和系统宽广的专业知识，掌握本学科的最新的研究动态和前沿问题。 Advisors are majorly responsible for supervising PhD candidates, under the guidance of their supervision committee. The PhD program incorporates theoretical study with application, emphasizing on students’ ability to conduct independent scientific research with creativity. Students are expected to have a firm grasp of the founding theories and comprehensive knowledge of the subject matter, and know the trending topics of the field of finance. | ||||||||||||||
覆盖专业简介及研究方向 Introduction of Specialty and Research field | 覆盖专业简介 Introduction | 研究方向名称 Research fields | |||||||||||||
专业名称（020204）： Specialty（020204） | 我校于1986年获得本学科专业博士学位授予权，是全国最早的金融学博士点之一。金融学博士点现已形成以周骏教授为旗帜，以朱新蓉教授为学术领军人物的老中青博士生导师教学梯队，目前现有博士生导师十余名，在货币金融研究领域居于全国领先地位。近年来，依托金融学国家级重点学科平台，金融学博士点导师组获批多项国家级纵向课题，在国内外权威期刊上发表了高层次论文，培养了大批博士毕业生进入金融机构、金融行政部门和高等院校，并成为国家建设栋梁之才。 ZUEL school of finance, one of the oldest doctoral program in China, has been qualified to conduct doctoral program since 1986. School of finance has more than 10 qualified Ph.D supervisors, including outstanding senior faculty members such as Prof. Jun Zhou and Prof. Xinrong Zhu. Our school holds a leading position in the field of monetary policy. Recently, doctoral advisors in our school have granted a number of national-level research projects, and published multiple articles on influential academic journals. We have successfully placed our PhD graduates to various financial institutions, government entities and academia in recent years.
| 01货币理论与政策 01 Monetary theory and policy | |||||||||||||
02金融机构与风险管理 02 Financial institution and risk management | |||||||||||||||
03金融市场与证券投资 03 Financial market and security investment | |||||||||||||||
04国际金融管理 04 International financial management | |||||||||||||||
05金融产品创新与监管 05 financial products innovation and supervision | |||||||||||||||
课程设置 Curriculum | |||||||||||||||
课程类别 Course Type | 课程编号 Course coding | 课程名称 Courses name | 总学 分credits | 总学时 Academic hours | 周学时 Weekly Hours | 开课 学期 Semester | 备注 Remark | ||||||||
公共必修课 General Education Courses | 11191001 | 汉语1 Chinese Language I | 4 | 64 | 4 | 1 |
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11191002 | 汉语2 Chinese Language II | 4 | 64 | 4 | 2 |
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11191003 | 中国概况Introduction to China | 2 | 32 | 4 | 1 |
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学科基础课 Basic Subject Courses | 51032001 | Advanced Microeconomics | 3 | 48 | 4 | 1 |
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51132001 | Advanced Econometrics | 3 | 48 | 4 | 1 |
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51032002 | Advanced Macroeconomics | 3 | 48 | 4 | 2 |
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51032003 | Research Methodology and Writing Skills | 2 | 32 | 4 | 1 |
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51032004 | Classical Literature （first level discipline） | 2 | 32 | 4 | 2 |
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专业课 Core Specialty Courses |
| Advanced Topics in Empirical Methodology | 2 | 32 | 4 | 2 |
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| Advanced Empirical Corporate Finance | 2 | 32 | 4 | 2 |
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| Advanced Monetary Economics | 2 | 32 | 4 | 3 |
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| Advanced Topics of Financial Programming | 2 | 32 | 4 | 3 |
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其他要求 Other requirements | 由各学院根据学科所需制定其他要求。 Each college shall formulate other requirements according to the needs of the discipline. | ||||||||||||||
其他培养环节及要求（选填）Other Educational Processes and Requirements (Selection) | |||||||||||||||
其他培养环节 Other Program segments | 内容或要求 Contents or requirements | 考核时间及方式 Due Time & Method of Examination | |||||||||||||
科研及学术成果 Publication and academic achievement | 在国内外公开发行的学术刊物上发表学术论文1篇以上（含1篇），并撰写调研报告、学术会议论文等2篇以上（含2篇）。 Each PhD candidate is required to (1) publish at least one article on academic journal, either domestic or international journal; (2) write at least two academic reports or conference papers before applying for thesis defense.
| 在申请学位论文答辩前 Before apply thesis defense | |||||||||||||
中期考核（博士必填） Middle-term assessment | 博士研究生课程学习结束后，应进行“学科综合考试”，综合考试内容覆盖教学计划中读书目录的全部内容。 School of finance conducts qualifying exam after PhD students completed their coursework. The qualifying exam covers all the contents, including references in the syllabus. | 综合考试采用笔试和口试方法，考试时间安排在学位论文开题之前。 Conducted before thesis proposal, the qualifying exam includes a written exam and an oral exam. | |||||||||||||
文献综述与开题报告 Literature review & research proposal | 论文选题文献综述或/和《开题报告书》，以《中南财经政法大学博士学位论文开题报告管理规定》的相关规定为准。 Literature review and/or research proposal are subject to ZUEL Dissertation Proposal Regulations.
| 无特殊情况时，博士生应在入学后第三学期第五周至第四学期第十周期间完成学位论文开题报告（用英文撰写）；在通过博士生学位课程及学科综合考试后，参加论文开题报告会。 Exception from special circumstances, all PhD students should complete their dissertation proposal (in English) between the 5th week of the 3rd semester and the 10th week of the 4th semester; after they pass the qualifying exam, student should attend the research proposal defense. | |||||||||||||
社会实践Social practice | 遵照《中南财经政法大学外国留学研究生培养与学位管理实施办法》中的有关规定。 Following the relevant provisions of the “Management Methods of Training for International Students at Zhongnan University of Economics and Law”. |
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教学实践Teaching Practice | 遵照《中南财经政法大学外国留学研究生培养与学位管理实施办法》中的有关规定。 Following the relevant provisions of the “Management Methods of Training for International Students at Zhongnan University of Economics and Law”. |
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学术训练Academic training | 遵照《中南财经政法大学外国留学研究生培养与学位管理实施办法》中的有关规定。 Following the relevant provisions of the “Management Methods of Training for International Students at Zhongnan University of Economics and Law”. |
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语言能力 Language ability
| 根据教育部《来华留学生高等教育质量规范（试行）》（教外（2018）50号文），以英文为授课语言的专业，毕业时中文能力应当达到《国际汉语能力标准》三级水平。 According to the ministry of education's 《Quality Standards of higher education for foreign students in China (trial)》 (no. 50 (2018)), Ph D students who are taught in English shall graduate with Chinese language proficiency up to HSK level 3. 未通过汉语水平考试HSK三级者不能通过毕业资格审核。 Those who have not passed HSK level 3 cannot pass the graduation qualification examination.
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学位论文 Dissertation | 博士学位论文由留学博士生独立完成，是系统而完整的科研成果的表述与总结，能表明作者确已掌握本学科坚实的基础理论和系统的专门知识，且对所研究的课题有突破性或创新性见解。博士学位论文正文一般为8万字左右，用英文撰写；论文题目及论文“摘要”必须译成中文。 申请正式论文答辩前，留学博士生还应通过：（1）学院的预答辩环节，（2）研究生院学术不端行为监测系统的查重检测，（3）外审专家的双盲评审。达到学校和学院的要求者，才能进入正式答辩环节，并于答辩后再次进行查重检测 Dissertation is a systematic and comprehensive presentation of scientific research findings, indicating comprehensive understanding of the primary and advanced theories and knowledges, and innovative insight of the research topic. International PhD candidates are expected to complete their dissertation independently. Dissertation should be around 80,000 words, and written in English; the title and abstract of the dissertation should be translated into Chinese. Before applying for oral defense, international PhD candidates should pass: (1) the pre-defense organized by the school; (2) graduate school academic misconduct test and plagiarism test; (3) double-blind review by external experts. The dissertation should pass another plagiarism test after the oral defense. | ||||||||||||||
本学科主要文献、目录及刊物（选填） Main Documents, Catalogues and Publications of the Major (Selected) | |||||||||||||||
序号 No. | 著作或论文名称 Publication Title | 作者 Author | 出版社 Journal or publishing house | 出版时间 Publication time | 考核方式 Assessment method | 备注（选读/必读） Remarks (selective reading/ compulsory reading) | |||||||||
1 | Corporate Finance 11th Edition | Stephen A. Ross, Randolph W. Westerfield et al. | China Machine Press | 2018 | Non-test based assessment | Selective reading | |||||||||
2 | Investments 10th Edition | Zvi Bodies, Alex Kane et al. | China Machine Press | 2017 | Non-test based assessment | Selective reading | |||||||||
3 | The Economics of Money, Banking and Financial Markets, 4th Edition | Frederic S. Mishkin | China Machine Press | 2017 | Non-test based assessment | Selective reading | |||||||||
4 | International Economics, Theory and Policy, 11th Edition | Paul R. Krugman, Maurice Obstfeld & Marc J. Melitz | Pearson | 2017 | Non-test based assessment | Selective reading | |||||||||
5 | Options, Futures, and Other Derivatives | John C Hull | Pearson | Latest version | Non-test based assessment | Selective reading | |||||||||
6 | Asset Pricing | Princeton University Press | Latest version | Non-test based assessment | Selective reading | ||||||||||
7 | Financial Econometrics Models and Methods | Oliver Linton | University of Cambridge | Latest version | Non-test based assessment | Selective reading | |||||||||
8 | Spatial Econometrics | Harry Kelejian et al. | Academic Press | Latest version | Non-test based assessment | Selective reading | |||||||||
9 | International Financial Management | Cambridge University Press | 2017 | Non-test based assessment | Selective reading | ||||||||||
10 | Optimal capital structure and bankruptcy choice: Dynamic bargaining versus liquidation | Antill S, Grenadier S R. | Journal of Financial Economics | 2019 | Non-test based assessment | Selective reading | |||||||||
11 | R&D and the Incentives from Merger and Acquisition Activity | Gordon M P, Zhdanov A | The Review of Financial Studies | 2013 | Non-test based assessment | Selective reading | |||||||||
12 | Common risk factors in the returns on stocks and bonds | Fama, E. F. and K. R. French | Journal of Financial Economics | 1993 | Non-test based assessment | Selective reading | |||||||||
13 | Adopting knowledge from reverse innovations? Transnational patents and signaling from an emerging economy | Kenneth G Huang and Jiatao Li | Journal of International Business Studies | 2019 | Non-test based assessment | Selective reading | |||||||||
14 | Trade Wars and Trade Talks with Data | Ralph Ossa | American Economic Review | 2014 | Non-test based assessment | Selective reading | |||||||||
15 | Financing Innovation: Evidence from R&D Grants | Howell S T. | American Economic Review | 2017 | Non-test based assessment | Selective reading | |||||||||
16 | Tunneling | La Porta, R., Lopez-de-Silanes, F., & Shleifer, A. | The American Economic Review | 2000 | Non-test based assessment | Selective reading | |||||||||
17 | Estimating Standard Errors in Finance Panel Data Sets: Comparing Approaches | Petersen, M. A. | Review of Financial Studies | 2009 | Non-test based assessment | Selective reading | |||||||||
18 | Information Asymmetry and Asset Prices: Evidence from the China Foreign Share Discount | Chan, K., A. J. Menkveld, et al. | The Journal of Finance | 2008 | Non-test based assessment | Selective reading | |||||||||
19 | Principal-principal conflicts under weak institutions: A study of corporate takeovers in China | Li, J. and C. Qian | Strategic Management Journal | 2013 | Non-test based assessment | Selective reading | |||||||||
20 | Incentivizing calculated risk-taking: Evidence from an experiment with commercial bank loan officers | Cole Shawn, Martin Kanz, and Leora Klapper | The Journal of Finance | 2015 | Non-test based assessment | Selective reading | |||||||||
21 | Did securitization lead to lax screening ?Evidence from subprime loans | Keys, Benjamin J., Ranmoy Mukherjee, Amit Seru, and Vikrant Vig | Quarterly Journal of Economics | 2010 | Non-test based assessment | Selective reading | |||||||||
22 | Stock options and managerial incentives for risk taking: evidence from FAS 123R | Rachel M. Rachel, Michael Lemmon, and Mingming Qiu | Journal of Financial Economics, | 2012 | Non-test based assessment | Selective reading | |||||||||
文献阅读考核方式：1.考核：将此文献作为课程考核或中期考核的考试范围； 2.考查：结合开题报告或学科综合考试进行； 3.报告：撰写读书报告； 4.其他：请注明。 Examination methods of literature reading:： 1.Assessment: Take the documents as the scope of course assessment or mid-term assessment. 2.Examination: combined with the proposals or comprehensive subject examination; 3.Report: Write a reading report; 4.Others: Please note. | |||||||||||||||
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