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A short course of lectures
«Chinese securities companies»





Promote Differentiation-Based Management and CompetitionLessons The U.S. NASDAQ Market: Assorted Sponsor System The Irreversible Trend of Economic and Financial Globalization Improving Stock Issuance Pricing System and Securities Market Litigation SystemSponsor Competence StandardizationEvaluating the Overall Financial Condition of the Individual at Present Wealth Management Talent Environment AnalysisAnalysis of Functions of Chinese Securities CompaniesGrowth Traits of Securities Companies Compliance Generates Power for the Sustainable Development Mechanism Major Categories Of Risks Liquidity Risks Early Glory Regulators Should Establish a Sound Regulatory Policy Framework for Private Securities Firms U.S. Investment Bank Business Structure Case Study: Lehman BrothersInvestment Bank Regulation System in the United KingdomStrict Separation Of Activities (1995-1999) Financial Market Service ProvidersHow to Effectively Draw on the Comparative Advantages of the Domestic Capital Market, Identify International Customers, and Raise Service Levels More Severe Punishment Needed for Breaching SponsorsThe Effect of Location on the Profitability StructureRisk Management of Investment BanksCASE STUDIESBoard of Supervisors and the Management Product Pricing Tougher Penalties for Law-Breaching SponsorsCompliance Risks Innovation in Traditional BusinessCASE STUDIES: TYPICAL CHINESE SECURITIES FIRMS Incompetence of SponsorsConsolidating Securities Underwriting Services ANALYSIS OF THE INTERNAL CONTROL OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSUnreasonable Sources of Income for SponsorsMarketization and Emerging Private Securities FirmsThe Meaning of Profitability Model for a Securities CompanyDeterminants of Organization and Management Criteria for an Ideal Future Management Model for Chinese Securities FirmsSome Experience Gained from Undergoing Pilot Programs of the Financial Holding Model and Integration Of Activities Major Sources of Risks in Investment Banking BusinessRisk Management Well-Rounded Organizational Structure for Risk Management Taking Full Advantage of Advanced Risk-Management Techniques without Relying Too Much on Them The Case of Suzhou Hengjiu Photo-ElectronicProprietary Business The Quick Startup Phase—1990 to 1995 External Factors Functional Divisions Independent Securities Firms Must Find Their Competitive Advantage over Financial Holding Company-Controlled Securities Firms by Differentiation Review and Judgment of Historical Roles of Chinese Securities CompaniesThe Effect of an Enterprise's Scale on Its Profitability Structure The Impact of Securities Firms as Public Companies Differentiation of Business Regions Team Building Should Be Conducted in a Coordinated WayImproving Risk-Management Architecture, Making High-Caliber Personnel Messages in Terms of Business StructureMANAGEMENT OF RISKS ASSOCIATED WITH TRADITIONAL BUSINESS OF CHINESE SECURITIES COMPANIESThe Merrill Lynch Model Effective Risk-Management System and Mechanism Concurrence of Separation and Crossover (Since 2000) Attaching Importance to the Effect of Culture on Internal Control SOME PRIORITIES OF FUTURE REFORM IN CHINESE SECURITIES FIRMSAnalysis of the Annual Frequency of Punishments against SponsorsStrategy Is Vital to Success Sponsor Duty System Quantitative Analysis of Talent Demand Securities Proprietary Business Risk ManagementCHARACTERISTICS OF THE PROFITABILITY MODEL OF SECURITIES COMPANIESRisk Management in Chinese Securities CompaniesMarket Risks Classified Oversight and the Impact Development of Both Wholly Owned and Equity-Controlled Business; Taking Root in Beijing, Guangdong, Shanghai, Zhejiang, and Shandong; Brokerage Accounting for Half of the RevenuesVarying Service Capabilities and Overall Need for Improvement Heterogeneous Financial Conglomerates (HFC) Chartered Financial Analysts (CFA) Management of Risks Associated with Brokerage BusinessGuaranteed Market Liquidity The Chinese Mainland Stock Markets: From Quota Management to Sponsor SystemGF Securities: A Success Story of an Ordinary Unprivileged BusinessFarsighted Development Strategy and Efficient Capital Operation DEVELOPMENT TREND AND CORE COMPETITIVE STRENGTH IN THE SECURITIES INDUSTRYSOME DIRECTIONS FOR THE FUTURE DEVELOPMENT OF CHINESE SECURITIES FIRMSThe Investment Bank Regulation System in the United StatesAppeal to Upscale Clients Sponsor Qualifications Asset Management Business Management of Risks Associated with Research and Investment Consultancy Business THEORETICAL ANALYSIS OF FINANCIAL FUNCTIONALITY Treasury Bond Incident Functional Evolution—An Analysis with Particular Interest to the Function of an Underwriter's GoodwillLessons International Finance-Related Services NOTE FROM THE AUTHORLessons A Case Study of Misappropriation of Client Security Deposits by Chinese Securities Firms What China Can Learn from the Business Structures of American Investment BanksRisk AllocatorCapabilities in M&A and Reorganization of Resources AvailableWhat China Can Learn from the Organizational Structures of Investment Banks in Mature International MarketsDifferentiation of Profitability Models among Securities Traders as Larger Ones Become More Weil-Rounded and InternationalizedProfessional TalentChanges of GDP and Disposal Income Per CapitaMarketing Service Management Talent Information Plays an Essential Role in Business Competition Normalized Development Phase, 2005 to 2011Functions of information Marketplaces and Securities FirmsWhat Can China Learn from Overseas Investment Bank Regulation SystemsHaitong Securities: A Shady DealThe Infancy Phase—1987 to 1990 ANALYSIS OF PUNISHMENTS IMPOSED BY THE CSRC ON RULE-BREACHING SPONSORSWanguo Securities: A Story about a Broken DreamPROFITABILITY STRUCTURES OF CHINESE SECURITIES COMPANIESWealth ManagerAdvanced Risk-Management Concepts Client Group Analysis About CITIC Securities Active Contributions to Activating Idle Social Assets and Improving Overall Operational Quality of National Economy Setting Internal Control Objectives in a Dynamic Way for Different Periods of Time Focusing on the Cultivation of Financial Holding Companies in Keeping with the Trend Of the Time Information Communication Financial Holding Companies: The Best Model for Large Investment Banks in the Tendency toward IntegrationInternal Environment Specifying the Rights and Responsibilities between the Sponsor Institution and Other Intermediary Agencies Specifying the Rights and Responsibilities between the Sponsor and the Issuer Ambiguous Rights and Responsibilities between the Sponsor and the Regulator Four Factors Determining the Competitive Edge of Securities CompaniesMajor Sources Risks in Securities Proprietary Business U.S. Investment Bank Business Structure Case Study: Merrill LynchA Transition from Channels to ServicesRecommending Possible Solutions Future Development and Reform Focuses of Chinese Securities Companies—General PrinciplePromoted the Creation of Diverse Social Assets and Expanded Citizens' Investment Options SELECTION OF MODELS (GOALS) FOR CHANGE OF ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMSInspirations Drawn from the Financial Crisis for the Risk Management of Securities CompaniesMultilevel, Diversified Independent Securities FirmsANALYSIS OF BUSINESS STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSHow Securities Firms Function: Information Network, Reputation Management, and Tacit SkillsRapidly Expanding Stock Market The Fast-Development Phase of Chinese Securities Companies, 1996 to 2001Analysis of Innovative BusinessThe Meaning of Strategic Risk ManagementManagement of Risks Associated with Asset Management Business of Securities CompaniesLow-Profile Reverse Takeover Deal-Making DIRECTION FOR SPONSOR SYSTEM REFORMDEMAND FOR TALENTS IN THE DEVELOPMENT OF THE SECURITIES INDUSTRYMixed Companies Policy Risks Criteria for an Ideal Future Management Model for Chinese Securities Firms: Factors Within FirmsInstitutional ChangeRisk-Management Architecture Risk Management for the Direct Investment BusinessAsset Management Business—Product Innovation Control Activities Profit Growth Points Brought about by Innovative BusinessManagement of Risks Associated with Securities Margin TradingPreliminary Formation of a Separated Regulation Model in the Securities Industry Management of Risks Associated with Investment Banking Business of Securities CompaniesCHANGE OF THE CHINESE DEPOSITORY SYSTEM FOR SECURITY DEPOSITS AND HOW CHINESE SECURITIES FIRMS FUNCTIONAn Empirical Study of the Function of a Securities Underwriter's GoodwillOrganizational Forms of Investment Banks in Mature International MarketsManagement of Risks Associated with the Direct Investment Business of Securities CompaniesThe Coup Risk Assessment Development Trend of Human Resource Management in Securities Companies in the FutureSecurities Margin Trading BusinessFinancial Globalization Gets Chinese Securities Firms Involved Organization and Management in Investment Banks: Continental Europe, the United States, and Japan Ambiguous Rights and Responsibilities among the Sponsor, the Issuer, the Regulator, and Other Intermediary InstitutionsRisk Management in Securities Companies Post Financial CrisisCOMPARATIVE ADVANTAGES AND DISADVANTAGES OF WEALTH MANAGEMENT TALENT IN THE SECURITIES INDUSTRYAmbiguous Rights and Responsibilities for the Sponsor Representative and the SponsorAdministration and Rectification Phase, 2001 to 2005Sources of Risks Facing Securities CompaniesAnalysis of Sponsor Regime for Chinese Securities CompaniesEFFECTIVE TALENT MANAGEMENT IN SECURITIES COMPANIESSources of Risks in Asset Management BusinessBoosted Development of a Financial System Anchored on the Securities Market Financial Holding Companies: DefinitionParticularities of Securities Issuance and TradingThe Five Factors of Internal ControlPrefaceCITIC Securities: The Benchmark MakerMisappropriation of Clients' Security Deposits by Securities Firms and the Industry-wide CrisisEmphasize Corporate Culture, Avoid "Lone Wolf" Approaches Categorization of International Investment Bank Regulation SystemsStrengthening Regulation on the Securities Market, Especially the OTC Market Post-1980 Tendency and the Latest Developments of Organization and Management in Investment Banks around the World Business Model B Theoretical and Practical Judgment Based on Functions of Securities CompaniesANALYSIS OF INVESTMENT BANK REGULATION IN MATURE OVERSEAS MARKETSThe Case of HepalinkINTRINSIC FLAW OF THE SPONSOR SYSTEM: IMBALANCE BETWEEN PROFIT AND RISKAsset Securitization CapabilitiesThe Term of Sponsors Management of Risks Associated with Research and Investment Consultancy Business of Securities CompaniesCITIC Securities—Equal Importance to Tradition and Innovation, Firm Foothold in China, and Aggressive Exploration OverseasHow the Function of Goodwill Is Shaped Number of Securities Companies Stabilized, Industry Competition Sharply Increased Financial Risks Tunneling Caused by Direct Investments and IPOs Sponsor Structure About the AuthorAnalysis of Problems in Risk Management of U.S. Investment Banks during the Financial CrisisRaise the Capital Scale of Securities Companies Hypothesis and SamplingManagement of Risks Associated with Stock Index Future BusinessProfitability Model Needs to Be Clearly DefinedEmpirical Tests and ResultsEvolutionary History and Structural Patterns of Investment Banks in JapanEvolutionary History and Structural Patterns of Investment Banks in the United KingdomWealth Manager Specifying the Rights and Responsibilities of the Sponsor, the Issuer, and the RegulatorManagement of Risks Associated with Investment Banking Business of Securities CompaniesSelection of Landing Site for Financial Holding Model Undermotivated Innovation and Underdeveloped Competitiveness of Securities Companies Analysis of Risks Associated with Securities Margin TradingBrokerage Business—Specialized Operation Contents of the Wealth Management BusinessThe Policy Orientation to Classification-Based Market Access and Oversight Greatly Supports Independent Securities Firms in Diversification Quantitative Risk-Management Method Accelerate the Concentration of Capital for Business Growth and ExpansionThe CICC: Going UpscaleRisk Management of Overseas Securities CompaniesOperations and Oversight Based on Separation of Activities and the Financial Holding ModelFacilitating Stock Reforms of State-Owned Companies and Improving Quality of Corporate OperationsChinese Depository System ReformAnalysis on Structure and Competitiveness of Talent in Chinese Securities CompaniesAbout the CICC A Global Perspective Of Capital Markets Investment Banks in the Financial System: Definition and Functional OrientationSome Puzzling Aspects of This Reverse Takeover DealIdentifying Potential Problems An Innovator in Financial ProductsExploring New Business Models in Asset Management Services Tying Profit to Duties Performed by a SponsorCore Points of ViewInformation Management Industrial Securities: Robust ManagementThe Impairment of Insider Trading on Market Accountability and Investor Interests Business Model AProfitability Of Securities Firms Enhanced Operational Risks REVIEW OF THE PROS AND CONS OF CHINESE SECURITIES COMPANIESFunctional Requirements for Wealth Management Service PersonnelManagement of Risks Associated with Proprietary Business of Securities CompaniesThe Malaysia MESDAQ Market: Relay Sponsor System ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS: A HISTORICAL AND THEORETICAL REVIEWInvestment Research Talent Development Paths of Overseas Investment Banks as Inspirations for ChinaFUNCTIONAL ORIENTATION FOR SECURITIES FIRMSEvolutionary History and Structural Patterns of Investment Banks in the United StatesAnalysis of the Management Model of Chinese Securities CompaniesRULE BREAKING SPONSOR—CASE STUDIESComparison of the Sponsor Systems of Various CountriesAmbiguous Rights and Responsibilities between the Sponsor and the Issuer The Promoters of Change in the Chinese Financial SystemThe Prevailing "Buyer's Market" of Talent Is Forcing Securities Companies to Make Breakthroughs in Their Talent Recruitment Techniques PROFIT METHODS OF THE MAIN BUSINESS OF SECURITIES COMPANIESTHE EVOLUTION OF CHINESE FINANCIAL STRUCTURE IN THE FUTURETHE BIRTH AND GROWTH OF CHINESE SECURITIES COMPANIES—A BRIEF HISTORYSupervision Attaching Importance to Risk Identification and Response While Setting Strategic Goals for Internal Control Internal FactorsCORE COMPETITIVE EDGEChange of Activities and in Organization and Management in the Chinese Securities FirmsRisk-Management MethodsSponsor Representative Analysis of Risk Management in Chinese Securities CompaniesAmbiguous Rights and Responsibilities between the Sponsor Institution and Other Intermediary Institutions. Financial Holding Companies Are the Best Choice for Large Chinese Investment Banks, Subject to the Constraints of the Current Financial SystemLessons HISTORIC CONTRIBUTIONS OF CHINESE SECURITIES FIRMSSpecifying the Rights and Responsibilities between the Sponsor Representative and the Sponsor Institution Business Growth Is Driven by Innovation Analysis of Sponsor Institution and Representative Credit Regulation by Regulatory MeasuresResource Input Analysis UniformityStrongly Enhanced the Development of Transparency in the Capital Market Providing and Implementing Suggestions Analysis of the Market Boards of Breaching SponsorsEquity Structure Investment Banking Business—Transitioning toward Equal Importance for Securities Issuance and Financial Consultancy Interdisciplinary TalentWealth Management CapabilitiesDiversified Business Categorization Requires the Leadership of the Company to Play a Leading Role in a Series of Human Resources Decisions The Main Driving Force of an Emerging International Financial Center in ChinaThe Structure of the Board of Directors Messages in Terms of Corporate Governance and Internal ControlCreate an International VisionHistory General Analysis of Business Structures of Investment Banks in the United StatesInvestment Banks: A Brief Survey from the Perspective of Separation of Activities Investment Banking Business Differentiated Products and Services Innovation-Powered Business Growth: Two TransformationsCore Competitive Strength of Securities CompaniesCharacteristics of Securities Company HR Management Determined by the IndustryANALYSIS OF THE ORGANIZATIONAL STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSRegulators Should Also Create Conditions for the Growth of Private Securities Firms What China Can Learn From Internal Control of Investment Banks in Mature International MarketsStrengthening Regulation on Derivatives Internal Incentives for Market Evolution of China's Financial StructureCultivating Core Business, Launching Differentiated Services and Specialty Services Historical DataStrategic Risks and Risk-Management Strategies of Securities CompaniesFactors Affecting the Profit Model of a Securities CompanyGovernance Structures of Investment Banks in Mature International MarketsSTATUS QUO AND TREND ANALYSIS OF RISK MANAGEMENT IN SECURITIES COMPANIESPromoting Restructuring and M&A Services Historical Performance of the Function of Goodwill History Punishment for Rule-Breaching SponsorsSources of Risks in Stock Index Futures BusinessService Capability Analysis Overall Profitability StructureRegulators Should Provide Necessary Protection of Private Securities Firms' Rights and Interests on the Principle of Fair and Equitable Treatment Publicly Held Companies Development Trends of Securities CompaniesEvolutionary History and Structural Patterns of Investment Banks in GermanyThe Hong Kong Growth Enterprise Market: A System of Decomposed Sponsor Roles MANAGEMENT OF RISKS ASSOCIATED WITH INNOVATIVE BUSINESS OF SECURITIES COMPANIESEvolution PredictionJun'an Securities: The Fall of a StarIdentifying Their Purposes and Goals Differentiated Marketing Third-Party Wealth Management Companies Primary Crossover (1987-1994) Sponsor Regimes in Overseas Securities MarketThe Citigroup Model WHAT CHINA CAN LEARN FROM THE DEVELOPMENT OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSCultivation and Growth of Innovative BusinessSigns of a Transition in the Profitability ModelProfit Methods of the Securities Company Missteps of Chinese Securities Firms and Lessons LearnedU.S. Investment Bank Business Structure Case Study: Morgan StanleySecurities Regulation System Further Streamlined How International Demand Gives Rise to Internationalized Vision and Raises the Bar for Service Capability Appropriately Spreading Out Equity and Enhancing the Foundation of Internal ControlProfit Structure of the Securities Company Basic Functions of Securities Companies in the Financial System Management of Risks Associated with Asset Management Business of Securities CompaniesTransform Business ModelsPan-Banking CharacteristicsFunctional Orientation of Investment Banks Optimizing Governance Structures and Improving Operation Efficiency of Securities Companies Creating a Harmonious Financial Investment Culture for a Mutually Beneficial OutcomeChannelizedAcknowledgmentsThe Preliminary Phase of Chinese Securities Companies—1987 to 1995Expediting Financial Legislation and Improving the Legal Environment for Securities Companies Supervising the Wealth Management Plan Modern Financial Holding Companies Background and Significance of Studies on Securities Company Profitability ModelsTHEORETICAL ANALYSIS OF PROFITABILITY MODELSDirect Investment OVERVIEW OF THE DEVELOPMENT HISTORY OF INVESTMENT BANKS IN THE MATURE OVERSEAS MARKETExperience and Lessons from International Investment Banks (Securities Companies) in Mature MarketsU.S. Investment Bank Business Structure Case Study: Goldman SachsInternal Logic for Organizational and Management Evolution in Chinese Securities FirmsProprietary Business—Actively Taking Part in Market Transactions Active Innovation in Business Varieties Brokerage Commission Business Soochow Securities—Brokerage Supplemented with Investment Banking, Firm Regional Foothold, and Nationwide ExplorationGlobal Investors' Services Senior Managers ORGANIZATION AND MANAGEMENT IN INVESTMENT RANKS: A GENERAL ANALYSIS RASED ON INSTITUTIONAL RANKING AND FUNCTIONAL RANKINGProduct Une Analysis Analysis of Traditional BusinessLessons The General Growth Trend of the Chinese Economy Going ForwardSolid Evaluation and Incentive Mechanisms Are NeededRegulatory Framework for Financial Asset Management Company-Based Financial Holding Model CONSTRUCTION OF NEW PROFITABILITY MODELSORIGIN AND DEVELOPMENT OF THE SPONSOR REGIME IN CHINAFamily Business and Partnership Messages in Terms of Organizational StructureThe U.K. Alternative Investment Market (AIM): Lifelong Sponsor System Restructuring Existing Brokerage Services and Placing Broker Services at the Core SOME IDEAS OF OVERALL POLICY FOR FUTURE ORGANIZATIONAL AND MANAGEMENT TRANSFORMATION IN CHINESE SECURITIES FIRMSHard-Earned Success Risks Associated with the Direct Investment BusinessAnalysis of the Profit Model of Chinese Securities CompaniesPost Purge Institutional Environment for Risk Management in Securities CompaniesManagement of Risks Associated with the Brokerage Business of Securities CompaniesMajor Sources of Risks in the Brokerage Business Analysis of the Status Quo of Risk Management in Chinese Securities CompaniesManagement of Risks Associated with Securities Margin Trading Business of Securities CompaniesStock Index Futures Improving Understanding of Internal Control Systems Messages in Terms of RegulationDifferentiated Market Positioning Theoretical Frameworks for Human Resource Management in Securities CompaniesSpecifying the Rights and Responsibilities between the Sponsor and the Regulator INSTITUTIONAL CHANGE AND FUNCTIONAL EVOLUTION FOR CHINESE SECURITIES FIRMS—AN ANALYSIS WITH PARTICULAR INTEREST IN THE FUNCTION OF AN UNDERWRITER'S GOODWILLHigh Personnel Mobility Becomes a Double-Edge Sword in Human Resource ManagementOrganization and Management in Investment Banks: A Global Perspective
 
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