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政大典藏 > College of Law > Department of Law > Periodical Articles > Item 140.119/129496

Please use this identifier to cite or link to this item: https://nccur.lib.nccu.edu.tw/handle/140.119/129496

Title:	論機器人投資顧問之興起與投資人之保護 —以美國法為中心 The Rise of Robo-Advisors and the Protection of Investors–An Analysis Based on the Law and Experience in the U.S.
Authors:	周振鋒 Chou, Cheng-Fong
Contributors:	法學院
Keywords:	機器人投資顧問;金融科技;證券投資信託及顧問法;適合性義務;揭露義務;利益衝突;受任人義務 Robo-Advisors;FinTech;Securities Investment Trust and Consulting Act;Suitability Duty;Duty to Disclose;Conflict of Interest;Fiduciary Duty
Date:	2019-04
Issue Date:	2020-04-27 15:57:43 (UTC+8)
Abstract:	機器人投資顧問係指一種網路投資平台或設計，藉線上問卷方式由投資人自行輸入資料，進而利用演算法與資產配置模型分析，建議投資人合適的證券投資標的與組合，自動將客戶資金配置於其所建議之投資組合，並持續管理帳戶資產，服務提供過程中極少或全無人類涉入。此種新興產業對傳統的投資建議傳送模式已造成相當大衝擊。但由於服務過程中全無或極少人力參與，是否能在既有以人為規範對象之法規妥適地經營，即產生不少疑問。本文擬研析美國法下實務發展經驗與學術討論，深入了解機器人投資顧問所面臨之運作與法規挑戰，同時藉此探討我國機器人投資顧問發展與管制之可能方向。
Relation:	東吳法律學報, Vol.30, No.4, pp.69-107
Data Type:	article
Appears in Collections:	[Department of Law] Periodical Articles

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