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1、金融学（国际学生英文授课）博士研究生培养方案AcademicPlanofPhDDegreeinFinanceMajorforInternationalStudent学院School金融学院SchoolofFinance培养类别Programtype国际学生(博,英文)InternationalstudentsPh.D,(TaughtinEnglish)一级学科名称Firstleveldiscipline应用经济学AppliedEconomics一级学科代码Firstleveldisciplinecode0202适用年级Grade从2022级开始适用From2022修订时间Timeofrevis
2、ion2022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Lengthofschooling博士国际学生4年。4yearsforPhDdegreeinternationalstudent.学分Credit博士（国际学生）：总学分38学分，其中学位课学分18学分，非学位课学分自行选修Ph.DCandidates:overallcredits18credits,creditsofdegreecourse18credits培养目标Educationalobjectives1、对中国的认识和理解(Know
3、ledgeandunderstandingofChina)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。InternationalstudentsshouldbefamiliarwiththebasicknowledgeofChinasnationalconditionsandculturesuchasChinesehistory,geography,society,andeconomy,understandChinaspoliticalsystemandforeignpoli
4、cy,understandthemainstreamvaluesofChinesesocietyandpublicmorality,andformagoodconceptoftheruleoflawandmoralawareness.2、跨文化和全球胜任力(Cross-culluralandglobalcompeiencies)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。Internationalstudentsshouldhavetheawareness,knowledge,attitudesandski
5、llstoembrace,recognizeandadapttoculturaldiversity,andbeabletofunctioninmutualrespect,understandingandsolidarityamongdifferentpeoples,societiesandnations.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。Internationalstudentsshouldhaveabroadinternationalperspective,beabletoinnovativelya
6、pplyanddevelopthetheories,skillsandmethodsofthisdisciplinearoundtheworld,andhaveacompetitiveadvantageininternationalaffairs.3、汉语水平(ChineSeIangUagePrOfiCienCy)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。InternationalstudentsshouldbeabletosuccessfullyuseEnglishtocomplete(h
7、estudyandresearchtasksofthedisciplineandmajor,andhavetheabilitytouseEnglishtoengageintherelevantworkofthemajor;theirChineseproficiencyshouldatleastreachLevel3ofHSKwhentheygraduate.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
8、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。ThisprogramequipsstudentswithfirmIbundaiion,systematicstudyandcomprehensiveunderstandingofthefieldoffinance.Concurrently,thisprogramdevelopsafirmgraspofknowledgeinrelatedfields,strongqualitativeandquantitativeresearchstrategy,programmingskills,andproficiencyinfor
9、eignlanguageinordertoconductresearchwithoriginality.Studentsareexpectedtobecapableofteachingandconductingresearchinthefieldoffinance,engaginginseniorlevelpositionsinprivateorpublicentitiesrelatedtoeconomicsandfinancialregulation,orworkingasseniormembersoffinancialinstitutions.科研能力及创新培养等要求Researchcap
10、acityandInnovationtraining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
11、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。EachPhDcandidateisrequiredto（1）publishalleastonearticleonacademicjournal,eitherdomesticorinternationaljournal;（2）writeatleasttwoacademicreportsorconferencepapersbeforeapplyingforthesisdefense.AllpublicationsmentionedshouldbecompletedduringstudentscourseofstudyinZUEL
12、（beforeapplyforthesisdefense）,andshouldmakeZUELasthesignatureunitofthefirstauthor.AllPhDcandidatesneed（oconductfieldresearchrelatedtotheresearchtopicofboththestudentandtheiradvisor,joinfield-relatedforumsorresearchconferences,andcollectdataandliteraturerelated.Studentsareexpectedtoconductoriginal,cu
13、tting-edgeresearch,publishhigh-qualityresearchfindingsthroughvariousuniversityfundedandgovernmentfundedprojects.培养方式Trainingmode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
14、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。AdvisorsaremajorlyresponsibleforsupervisingPhDcandidates,undertheguidanceoftheirsupervisioncommittee.ThePhDprogramincorporatestheoreticalstudywithapplication,emphasizingonstudentsabilitytoconductindependentscientificresearchwithcreativity.Studentsareexpectedtohaveafir
15、mgraspofthefoundingtheoriesandcomprehensiveknowledgeofthesubjectmatter,andknowthetrendingtopicsofIhefieldoffinance.覆盖专业简介及研究方向IntroductionofSpecialtyandResearchfield覆盖专业简介Introduction研究方向名称Researchfields专业名称(020204)：Specialty(020204)我校于986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。金融学博士点现己形成以周骏教授为旗帜,以朱新蓉教授为学术领军
16、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。ZUELschooloffinance.01货币理论与政策01Monetarytheoryandpolicy02金融机构与风险管理02Financialinstitutionandriskmanagement03金融市场与证券投资03Financialmarketandsecurityinvestment0
17、4国际金融管理04Internationalfinancialmanagement05金融产品创新与监管05financialproductsinnovationandsupervisiononeoftheoldestdoctoralprograminChina,hasbeenqualified(oconductdoctoralprogramsince1986.SchooloffinancehasmorethanIOqualifiedPh.Dsupervisors,includingoutstandingseniorfacultymemberssuchasProf.JunZhoUandProf
18、.XinrongZhu.Ourschoolholdsaleadingpositioninthefieldofmonetarypolicy.Recently,doctoraladvisorsinourschoolhavegrantedanumberofnational-levelresearchprojects,andpublishedmultiplearticlesoninfluentialacademicjournals.WehavesuccessfullyplacedourPhDgraduatesiovariousfinancialinstitutions,governmententiti
19、esandacademiainrecentyears.课程设置Curriculum课程类别CourseType课程编号Coursecoding课程名称Coursesname总学分credits总学时Academichours周学时WeeklyHours开课学期Semester备注Remark公共必修课GeneralEducation汉语1ChineseLanguageI46441汉语2ChineseLanguageII46442中国概况IntroductiontoChina23241Courses学科基础课BasicSubjectCoursesAdvancedMicroeconomics348
20、41AdvancedEconometrics34841AdvancedMacroeconomics34842ResearchMethodologyandWritingSkills23241ClassicalLiterature(firstleveldiscipline)23242专业课CoreSpecialtyCoursesAdvancedTopicsinEmpiricalMethodology23242AdvancedEmpiricalCorporateFinance23242AdvancedMonetaryEconomics23243AdvancedTopicsofFinancialPro
21、gramming23243其他要求Otherrequirements由各学院根据学科所需制定其他要求。Eachcollegeshallfbnulateotherrequirementsaccordingtotheneedsofthediscipline.其他培养环节及要求(选填)OtherEducationalProcessesandRequirements(Selection)其他培养环节OtherProgramsegments内容或要求Contentsorrequirements考核时间及方式DueTime&MethodofExamination科研及学术成果Publicationanda
22、cademicachievement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)。EachPhDcandidateisrequiredto(1)publishatleastonearticleonacademicjournal,eitherdomesticorinternationaljournal;(2)writeatleasttwoacademicreportsorconferencepapersbeforeapplyingforthesisdefense.在申请学位论文答辩前Beforeapplythesisdefense中
23、期考核（博士必填）Middle-termassessment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。SchlOffinanceconductsqualifyingexamafterPhDstudentscompletedtheircoursework.Thequalifyingexamcoversallthecontents,includingreferencesinthesyllabus.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。Conductedbeforethesisproposal,thequalifyingex
24、amincludesawrittenexamandanoralexam.文献综述与开题报告论文选题文献综述或/和开题报告书，以中无特殊情况时，博士生应在入学后第三学期Literaturereview&researchproposal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。Literaturereviewand/orresearchproposalaresubjecttoZUELDissertationProposalRegulations.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
25、fromspecialcircumstances,allPhDstudentsshouldcompletetheirdissertationproposal(inEnglish)betweenthe5(hweekofthe3rdsemesterandtheIOthweekofIhe4thsemester;aftertheypassthequalifyingexam,studentshouldattendtheresearchproposaldefense.社会实践Socialpractice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。Followingtherelev
26、antprovisionsoftheManagementMethodsofTrainingforInternationalStudentsatZhongnanUniversityofEconomicsandLaw,教学实践TeachingPractice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。FollowingtherelevantprovisionsoftheuManagementMethodsofTrainingforInternationalStudentsatZhongnanUniversityofEconomicsandLawn.学术训练Academic
27、training遵照中南财经政法大学外国留学研窕生培养与学位管理实施办法中的有关规定。FollowingtherelevantprovisionsoftheManagementMethodsofTrainingforInternationalStudentsatZhongnanUniversityofEconomicsandLaw”.语言能力Languageability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。Accordingtotheministryofeducations(Quali
28、tyStandardsofhighereducationforforeignstudentsinChina(trial)(no.50(2018),PhDstudentswhoaretaughtinEnglishshallgraduatewithChineselanguageproficiencyuptoHSKlevel3.未通过汉语水平考试HSK三级者不能通过毕业资格审核。ThosewhohavenotpassedHSKlevel3cannotpassthegraduationqualificationexamination.学位论文Dissertation博士学位论文由留学博士生独立完成，是
29、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。巾请正式论文答辩前，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)外审专家的双百评审。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Dissertationisasystematicandcomprehensivepresentationofscieniicresearchndings,indicatingcom
30、prehensiveunderstandingoftheprimaryandadvancedtheoriesandknowledges,andinnovativeinsightoftheresearchtopic.InternationalPhDcandidatesareexpectedtocompletetheirdissertationindependently.Dissertationshouldbearound80,000words,andwritteninEnglish;thetitleandabstractofthedissertationshouldbetranslatedint
31、oChinese.Beforeapplyingfororaldefense,internationalPhDcandidatesshouldpass:(1)thepre-defenseorganizedbytheschool;(2)graduateschoolacademicmisconducttestandplagiarismtest;(3)double-blindreviewbyexternalexperts.Thedissertationshouldpassanotherplagiarismtestaftertheoraldefense.本学科主要文献、目录及刊物(选填)MainDocu
32、ments,CataloguesandPublicationsoftheMyor(Selected)序号No.著作或论文名称PublicationTitle作者Author出版社Journalorpublishinghouse出版时间Publicationtime考核方式Assessmentmethod备注(选读/必读)Remarks(selectivereading/compulsoryreading)1CorporateFinanceIlthEditionStephenA.Ross,RandolphW.Westerfieldetal.ChinaMachinePress2018Non-tes
33、tbasedassessmentSelectivereading2InvestmentsIOthEditionZviBodies,AlexKaneetal.ChinaMachinePress2017Non-testbasedassessmentSelectivereading3TheEconomicsofMoney,BankingandFinancialMarkets,4thEditionFredericS.MishkinChinaMachinePress2017Non-testbasedassessmentSelectivereading4InternationalEconomics,The
34、oryandPolicy,IIthEditionPaulR.Krugman,MauriceObstfeld&MarcJ.MelitzPearson2017Non-testbasedassessmentSelectivereading5Options.Futures,andOtherDerivativesJohnCHullPearsonLatestversionNon-testbasedassessmentSelectivereading6AssetPricingJohnH.CochranePrincetonUniversityPressLatestversionNon-testbasedass
35、essmentSelectivereading7FinancialEconometricsModelsandMethodsOliverLintonUniversityofCambridgeLatestversionNon-testbasedassessmentSelectivereading8SpatialEconometricsHarryKelejianetal.AcademicPressLatestversionNon-testbasedassessmentSelectivereading9InternationalFinancialManagementGeertBekaert,ROber
36、tHOdriCkCambridgeUniversityPress2017Non-testbasedassessmentSelectivereading10Optimalcapitalstructureandbankruptcychoice:DynamicbargainingversusliquidationAntillS,GrenadierSR.JournalofFinancialEconomics2019Non-testbasedassessmentSelectivereadingIlR&DandtheIncentivesfromMergerandAcquisitionActivityGor
37、donMRZhdanovATheReviewofFinancialStudies2013Non-testbasedassessmentSelectivereading12CommonriskfactorsinthereturnsonstocksandbondsFama,E.EandK.R.FrenchJournalofFinancialEconomics1993Non-testbasedassessmentSelectivereading13Adoptingknowledgefromreverseinnovations?Transnationalpatentsandsignalingfroma
38、nemergingeconomyKennethGHuangandJiataoLiJournalofInternationalBusinessStudies2019Non-testbasedassessmentSelectivereading14TradeWarsandTradeTalkswithDataRalphOssaAmericanEconomicReview2014Non-testbasedassessmentSelectivereading15FinancingInnovation:EvidencefromR&DGrantsHowellST.AmericanEconomicReview
39、2017Non-testbasedassessmentSelectivereading16TunnelingLaPorta,R.,Lopez-de-Silanes,E,&Shleifer,A.TheAmericanEconomicReview2000Non-testbasedassessmentSelectivereading17EstimatingStandiirdErrorsinFinancePanelDataSets:ComparingApproachesPetersen.M.A.ReviewofFinancialStudies2009Non-testbasedassessmentSel
40、ectivereading18InformationAsymmetryandAssetPrices:EvidencefromtheChinaForeignShareDiscountChan,K.,A.J.Menkveld,etal.TheJournalofFinance2008Non-testbasedassessmentSelectivereading19Principal-principalconflictsunderweakinstitutions:AstudyofcorporatetakeoversinChinaLi,J.andC.QianStrategicManagementJour
41、nal2013Non-testbasedassessmentSelectivereading20Incentivizingcalculatedrisk-taking:EvidencefromanexperimentwithcommercialbankloanofficersColeShawn,MartinKanz,andLeoraKlapperTheJournalofFinance2015Non-testbasedassessmentSelectivereading21Didsecuritizationlead(olaxscreening7EvidencefromsubprimeloansKe
42、ys,BenjaminJ.,RanmoyMukherjee,AmitSeru,andVikrantVigQuarterlyJournalofEconomics2010Non-testbasedassessmentSelectivereading22StockoptionsandmanagerialincentivesRachelM.Rachel,JournalofFinancialEconomics,2012Non-testbasedassessmentSelectivereadingforrisktaking:evidencefromFAS123RMichaelLemmon,andMingm
43、ingQiu文献阅读考核方式：L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：结合开题报等或学科综合考试进行；3 .报告：撰写读书报告；4 .其他：请注明。Examinationmethodsofliteraturereading:：1 .Assessment:Takethedocumentsasthescopeofcourseassessmentormid-termassessment.2 .Examination:combinedwith(heproposalsorcomprehensivesubjectexamination;3 .Report:Writeareadingreport;4.Others:Pleasenote.审核意见导师组意见导师组组长（签名）年月H学院（中心）意见负责人（盖章）：年月日学校培养指导委员会意见：盖章：年月0
