FIN 660/FIN 460 – Special Topics in Banking (3 credits), Spring 2017


Jiakai Chen, PhD., CFA

Selected Guest Speakers

Peter Biggs and Gary Tidwell, J.D

  • Professor Jiakai Chen is an Assistant Professor of Finance at the Shidler College of Business. He received his Ph.D. in finance and real estate and Master in Financial Engineering from UC Berkeley. Before joining Shidler, he worked as a Fixed Income Quantitative Strategist at the Citigroup Investment Banking.
  • Mr. Peter M. Biggs was Chief Retail Officer and Vice Chairman of Bank of Hawaii before he retired in early 2016. He joined Bank of Hawaii in 2000 as Senior Vice President and Manager of consumer deposits and served as its Executive Vice President since 2002. Mr. Biggs received his MBA from Rochester University.
  • Mr. Gary Tidwell is Senior Advisor – Education, Training and Regulatory Capacity Building at the International Organization of Securities Commissions (IOSCO) and until 2013 was Vice President at the Financial Industry Regulatory Authority (FINRA) where he had leadership roles in dispute resolution as well as education and training. Mr. Tidwell was Professor of Law at the US Military Academy, West Point.

Course Description

This class helps Shidler students to make a transition from college students to banking professionals. Students will learn the business decision-making processes, considerations behind critical business strategies, regulatory environment, and job market opportunities in today’s banking industry through a series of guest lectures by high-profile bank executives from leading local banks.

The first half of the course will provide an overview of the banking industry, with emphasis on Hawaii. After a brief introduction of the banking sector and financial market, more than ten guest speakers will share their areas of expertise. In addition, the instructor will teach students the basic Bloomberg operations and help them obtain the Bloomberg essential certification.

The second half of the course will provide an overview of the global capital markets with an emphasis on the regulatory/legal oversight of the markets. Some of the most recently litigated national and international banking cases will be examined by using court documents to critique and to learn from the actions and inactions of various market professionals and participants. Issues examined will include money laundering, bank and individual criminal liability, securities fraud, and insider trading. Resolving customer disputes and the use of arbitration and mediation will also be discussed.

Schedule TR 4:30-5:45PM
Grading No final exam. Course grade will be based on homework, class participation, and projects.
Textbook All course materials will be available on Laulima and will include selected reading materials, court documents, cases, and selected PowerPoint presentations.

Related PageFIN 460 - Special Topics in Banking.