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Chinese securities companies

A short course of lectures
«Chinese securities companies»

Characteristics of Securities Company HR Management Determined by the Industry Quantitative Risk-Management Method Sponsor Competence Standardization Specifying the Rights and Responsibilities between the Sponsor Institution and Other Intermediary Agencies Some Experience Gained from Undergoing Pilot Programs of the Financial Holding Model and Integration Of Activities Accelerate the Concentration of Capital for Business Growth and Expansion Liquidity Risks Promoted the Creation of Diverse Social Assets and Expanded Citizens' Investment Options Strongly Enhanced the Development of Transparency in the Capital Market Hypothesis and Sampling Analysis of Risk Management in Chinese Securities Companies STATUS QUO AND TREND ANALYSIS OF RISK MANAGEMENT IN SECURITIES COMPANIES Multilevel, Diversified Independent Securities Firms Quantitative Analysis of Talent Demand COMPARATIVE ADVANTAGES AND DISADVANTAGES OF WEALTH MANAGEMENT TALENT IN THE SECURITIES INDUSTRY Sponsor Regimes in Overseas Securities Market Management of Risks Associated with Securities Margin Trading Lessons DIRECTION FOR SPONSOR SYSTEM REFORM Normalized Development Phase, 2005 to 2011 Theoretical and Practical Judgment Based on Functions of Securities Companies What Can China Learn from Overseas Investment Bank Regulation Systems Ambiguous Rights and Responsibilities between the Sponsor and the Regulator Policy Risks Analysis of Problems in Risk Management of U.S. Investment Banks during the Financial Crisis Organization and Management in Investment Banks: Continental Europe, the United States, and Japan Active Innovation in Business Varieties The Term of Sponsors A Case Study of Misappropriation of Client Security Deposits by Chinese Securities Firms U.S. Investment Bank Business Structure Case Study: Lehman Brothers Lessons Asset Management Business Regulatory Framework for Financial Asset Management Company-Based Financial Holding Model CASE STUDIES Risk-Management Methods About CITIC Securities Functional Evolution—An Analysis with Particular Interest to the Function of an Underwriter's Goodwill The Malaysia MESDAQ Market: Relay Sponsor System Management of Risks Associated with Research and Investment Consultancy Business Categorization of International Investment Bank Regulation Systems Marketization and Emerging Private Securities Firms Management of Risks Associated with Brokerage Business Classified Oversight and the Impact ANALYSIS OF BUSINESS STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Signs of a Transition in the Profitability Model Management of Risks Associated with Securities Margin Trading Business of Securities Companies What China Can Learn from the Business Structures of American Investment Banks Misappropriation of Clients' Security Deposits by Securities Firms and the Industry-wide Crisis The Main Driving Force of an Emerging International Financial Center in China Haitong Securities: A Shady Deal A Global Perspective Of Capital Markets Operational Risks RULE BREAKING SPONSOR—CASE STUDIES Channelized Historical Data Evolutionary History and Structural Patterns of Investment Banks in the United States ANALYSIS OF PUNISHMENTS IMPOSED BY THE CSRC ON RULE-BREACHING SPONSORS Stock Index Futures What China Can Learn from the Organizational Structures of Investment Banks in Mature International Markets Incompetence of Sponsors HISTORIC CONTRIBUTIONS OF CHINESE SECURITIES FIRMS How the Function of Goodwill Is Shaped The Policy Orientation to Classification-Based Market Access and Oversight Greatly Supports Independent Securities Firms in Diversification A Transition from Channels to Services Treasury Bond Incident The Impairment of Insider Trading on Market Accountability and Investor Interests Heterogeneous Financial Conglomerates (HFC) Industrial Securities: Robust Management ORGANIZATION AND MANAGEMENT IN INVESTMENT RANKS: A GENERAL ANALYSIS RASED ON INSTITUTIONAL RANKING AND FUNCTIONAL RANKING Securities Margin Trading Business The Structure of the Board of Directors SOME DIRECTIONS FOR THE FUTURE DEVELOPMENT OF CHINESE SECURITIES FIRMS Improving Stock Issuance Pricing System and Securities Market Litigation System Control Activities Unreasonable Sources of Income for Sponsors Third-Party Wealth Management Companies U.S. Investment Bank Business Structure Case Study: Morgan Stanley High Personnel Mobility Becomes a Double-Edge Sword in Human Resource Management Management of Risks Associated with Asset Management Business of Securities Companies Major Categories Of Risks Criteria for an Ideal Future Management Model for Chinese Securities Firms: Factors Within Firms History Create an International Vision Management of Risks Associated with Investment Banking Business of Securities Companies Empirical Tests and Results Securities Proprietary Business Risk Management Business Growth Is Driven by Innovation Brokerage Commission Business Recommending Possible Solutions Analysis of the Profit Model of Chinese Securities Companies Appropriately Spreading Out Equity and Enhancing the Foundation of Internal Control Proprietary Business An Empirical Study of the Function of a Securities Underwriter's Goodwill Risks Associated with the Direct Investment Business Senior Managers Future Development and Reform Focuses of Chinese Securities Companies—General Principle Management of Risks Associated with Investment Banking Business of Securities Companies Investment Bank Regulation System in the United Kingdom Strict Separation Of Activities (1995-1999) Sources of Risks in Asset Management Business Development of Both Wholly Owned and Equity-Controlled Business; Taking Root in Beijing, Guangdong, Shanghai, Zhejiang, and Shandong; Brokerage Accounting for Half of the Revenues THEORETICAL ANALYSIS OF FINANCIAL FUNCTIONALITY The CICC: Going Upscale Regulators Should Provide Necessary Protection of Private Securities Firms' Rights and Interests on the Principle of Fair and Equitable Treatment The Quick Startup Phase—1990 to 1995 The Coup Analysis of the Market Boards of Breaching Sponsors Risk Management for the Direct Investment Business Active Contributions to Activating Idle Social Assets and Improving Overall Operational Quality of National Economy DEMAND FOR TALENTS IN THE DEVELOPMENT OF THE SECURITIES INDUSTRY Risk Assessment Securities Regulation System Further Streamlined ANALYSIS OF INVESTMENT BANK REGULATION IN MATURE OVERSEAS MARKETS Specifying the Rights and Responsibilities of the Sponsor, the Issuer, and the Regulator Analysis of Traditional Business Promoting Restructuring and M&A Services Setting Internal Control Objectives in a Dynamic Way for Different Periods of Time Messages in Terms of Regulation Differentiation of Profitability Models among Securities Traders as Larger Ones Become More Weil-Rounded and Internationalized Providing and Implementing Suggestions Profit Growth Points Brought about by Innovative Business PROFITABILITY STRUCTURES OF CHINESE SECURITIES COMPANIES MANAGEMENT OF RISKS ASSOCIATED WITH INNOVATIVE BUSINESS OF SECURITIES COMPANIES Risk Management of Overseas Securities Companies Diversified Business Categorization Requires the Leadership of the Company to Play a Leading Role in a Series of Human Resources Decisions Interdisciplinary Talent Messages in Terms of Corporate Governance and Internal Control Inspirations Drawn from the Financial Crisis for the Risk Management of Securities Companies Team Building Should Be Conducted in a Coordinated Way Ambiguous Rights and Responsibilities among the Sponsor, the Issuer, the Regulator, and Other Intermediary Institutions The Irreversible Trend of Economic and Financial Globalization Contents of the Wealth Management Business Particularities of Securities Issuance and Trading Analysis of the Status Quo of Risk Management in Chinese Securities Companies Undermotivated Innovation and Underdeveloped Competitiveness of Securities Companies Organization and Management in Investment Banks: A Global Perspective The Fast-Development Phase of Chinese Securities Companies, 1996 to 2001 Rapidly Expanding Stock Market Transform Business Models THE BIRTH AND GROWTH OF CHINESE SECURITIES COMPANIES—A BRIEF HISTORY Criteria for an Ideal Future Management Model for Chinese Securities Firms Equity Structure Modern Financial Holding Companies Restructuring Existing Brokerage Services and Placing Broker Services at the Core The Meaning of Strategic Risk Management The Effect of an Enterprise's Scale on Its Profitability Structure Internal Environment Development Trend of Human Resource Management in Securities Companies in the Future ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS: A HISTORICAL AND THEORETICAL REVIEW CORE COMPETITIVE EDGE Risk Allocator Lessons Analysis on Structure and Competitiveness of Talent in Chinese Securities Companies Capabilities in M&A and Reorganization of Resources Available Proprietary Business—Actively Taking Part in Market Transactions NOTE FROM THE AUTHOR Identifying Potential Problems PROFIT METHODS OF THE MAIN BUSINESS OF SECURITIES COMPANIES Uniformity Hard-Earned Success Analysis of the Management Model of Chinese Securities Companies ORIGIN AND DEVELOPMENT OF THE SPONSOR REGIME IN CHINA SOME IDEAS OF OVERALL POLICY FOR FUTURE ORGANIZATIONAL AND MANAGEMENT TRANSFORMATION IN CHINESE SECURITIES FIRMS SOME PRIORITIES OF FUTURE REFORM IN CHINESE SECURITIES FIRMS Strengthening Regulation on Derivatives Creating a Harmonious Financial Investment Culture for a Mutually Beneficial Outcome Soochow Securities—Brokerage Supplemented with Investment Banking, Firm Regional Foothold, and Nationwide Exploration Focusing on the Cultivation of Financial Holding Companies in Keeping with the Trend Of the Time Low-Profile Reverse Takeover Deal-Making Publicly Held Companies Preface Regulators Should Establish a Sound Regulatory Policy Framework for Private Securities Firms About the CICC Administration and Rectification Phase, 2001 to 2005 Investment Banks in the Financial System: Definition and Functional Orientation Jun'an Securities: The Fall of a Star Early Glory Core Competitive Strength of Securities Companies Evolutionary History and Structural Patterns of Investment Banks in Japan MANAGEMENT OF RISKS ASSOCIATED WITH TRADITIONAL BUSINESS OF CHINESE SECURITIES COMPANIES Post Purge Institutional Environment for Risk Management in Securities Companies Wanguo Securities: A Story about a Broken Dream Major Sources of Risks in Investment Banking Business Profit Structure of the Securities Company Wealth Management Talent Environment Analysis The Citigroup Model Internal Incentives for Market Evolution of China's Financial Structure Organizational Forms of Investment Banks in Mature International Markets Innovation-Powered Business Growth: Two Transformations Analysis of Sponsor Regime for Chinese Securities Companies Financial Holding Companies: The Best Model for Large Investment Banks in the Tendency toward Integration Raise the Capital Scale of Securities Companies GF Securities: A Success Story of an Ordinary Unprivileged Business Identifying Their Purposes and Goals An Innovator in Financial Products Risk Management in Chinese Securities Companies Expediting Financial Legislation and Improving the Legal Environment for Securities Companies Effective Risk-Management System and Mechanism Evolutionary History and Structural Patterns of Investment Banks in the United Kingdom U.S. Investment Bank Business Structure Case Study: Merrill Lynch Supervision Sponsor Representative OVERVIEW OF THE DEVELOPMENT HISTORY OF INVESTMENT BANKS IN THE MATURE OVERSEAS MARKET Number of Securities Companies Stabilized, Industry Competition Sharply Increased Compliance Risks Profitability Of Securities Firms Enhanced External Factors Information Communication Guaranteed Market Liquidity Business Model B Appeal to Upscale Clients WHAT CHINA CAN LEARN FROM THE DEVELOPMENT OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Theoretical Frameworks for Human Resource Management in Securities Companies Financial Risks Investment Banking Business Financial Globalization Gets Chinese Securities Firms Involved The Prevailing "Buyer's Market" of Talent Is Forcing Securities Companies to Make Breakthroughs in Their Talent Recruitment Techniques How Securities Firms Function: Information Network, Reputation Management, and Tacit Skills Market Risks Specifying the Rights and Responsibilities between the Sponsor Representative and the Sponsor Institution Post-1980 Tendency and the Latest Developments of Organization and Management in Investment Banks around the World THE EVOLUTION OF CHINESE FINANCIAL STRUCTURE IN THE FUTURE The Case of Suzhou Hengjiu Photo-Electronic More Severe Punishment Needed for Breaching Sponsors Investment Banking Business—Transitioning toward Equal Importance for Securities Issuance and Financial Consultancy Optimizing Governance Structures and Improving Operation Efficiency of Securities Companies Management of Risks Associated with Asset Management Business of Securities Companies Compliance Generates Power for the Sustainable Development Mechanism Tying Profit to Duties Performed by a Sponsor Resource Input Analysis Investment Banks: A Brief Survey from the Perspective of Separation of Activities Professional Talent Evaluating the Overall Financial Condition of the Individual at Present Preliminary Formation of a Separated Regulation Model in the Securities Industry What China Can Learn From Internal Control of Investment Banks in Mature International Markets Exploring New Business Models in Asset Management Services Risk Management CITIC Securities: The Benchmark Maker The Meaning of Profitability Model for a Securities Company Consolidating Securities Underwriting Services Information Management Internal Logic for Organizational and Management Evolution in Chinese Securities Firms ANALYSIS OF THE INTERNAL CONTROL OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Messages in Terms of Organizational Structure Client Group Analysis Chinese Depository System Reform Analysis of Innovative Business Differentiated Marketing Messages in Terms of Business Structure Strategic Risks and Risk-Management Strategies of Securities Companies CASE STUDIES: TYPICAL CHINESE SECURITIES FIRMS The Investment Bank Regulation System in the United States Asset Securitization Capabilities Development Trends of Securities Companies Functional Orientation of Investment Banks The U.S. NASDAQ Market: Assorted Sponsor System How International Demand Gives Rise to Internationalized Vision and Raises the Bar for Service Capability Attaching Importance to the Effect of Culture on Internal Control Attaching Importance to Risk Identification and Response While Setting Strategic Goals for Internal Control Improving Risk-Management Architecture, Making Risk-Management Architecture Historical Performance of the Function of Goodwill Internal Factors Service Capability Analysis ANALYSIS OF THE ORGANIZATIONAL STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Lessons Promote Differentiation-Based Management and Competition Sponsor Duty System INSTITUTIONAL CHANGE AND FUNCTIONAL EVOLUTION FOR CHINESE SECURITIES FIRMS—AN ANALYSIS WITH PARTICULAR INTEREST IN THE FUNCTION OF AN UNDERWRITER'S GOODWILL Board of Supervisors and the Management Brokerage Business—Specialized Operation EFFECTIVE TALENT MANAGEMENT IN SECURITIES COMPANIES Experience and Lessons from International Investment Banks (Securities Companies) in Mature Markets Development Paths of Overseas Investment Banks as Inspirations for China Operations and Oversight Based on Separation of Activities and the Financial Holding Model Product Pricing THEORETICAL ANALYSIS OF PROFITABILITY MODELS About the Author Business Model A Cultivating Core Business, Launching Differentiated Services and Specialty Services Profit Methods of the Securities Company CHANGE OF THE CHINESE DEPOSITORY SYSTEM FOR SECURITY DEPOSITS AND HOW CHINESE SECURITIES FIRMS FUNCTION DEVELOPMENT TREND AND CORE COMPETITIVE STRENGTH IN THE SECURITIES INDUSTRY Investment Research Talent Functions of information Marketplaces and Securities Firms The Merrill Lynch Model Major Sources of Risks in the Brokerage Business Management of Risks Associated with Research and Investment Consultancy Business of Securities Companies How to Effectively Draw on the Comparative Advantages of the Domestic Capital Market, Identify International Customers, and Raise Service Levels Factors Affecting the Profit Model of a Securities Company Financial Holding Companies: Definition Farsighted Development Strategy and Efficient Capital Operation Analysis of Functions of Chinese Securities Companies Determinants of Organization and Management Overall Profitability Structure Emphasize Corporate Culture, Avoid "Lone Wolf" Approaches High-Caliber Personnel Specifying the Rights and Responsibilities between the Sponsor and the Regulator Product Une Analysis Financial Holding Companies Are the Best Choice for Large Chinese Investment Banks, Subject to the Constraints of the Current Financial System Innovation in Traditional Business The General Growth Trend of the Chinese Economy Going Forward Differentiated Market Positioning Differentiated Products and Services Tunneling Caused by Direct Investments and IPOs Well-Rounded Organizational Structure for Risk Management Strategy Is Vital to Success Profitability Model Needs to Be Clearly Defined Concurrence of Separation and Crossover (Since 2000) Evolutionary History and Structural Patterns of Investment Banks in Germany Ambiguous Rights and Responsibilities between the Sponsor and the Issuer Analysis of Risks Associated with Securities Margin Trading Four Factors Determining the Competitive Edge of Securities Companies History Facilitating Stock Reforms of State-Owned Companies and Improving Quality of Corporate Operations International Finance-Related Services Basic Functions of Securities Companies in the Financial System Wealth Manager SELECTION OF MODELS (GOALS) FOR CHANGE OF ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS Change of Activities and in Organization and Management in the Chinese Securities Firms FUNCTIONAL ORIENTATION FOR SECURITIES FIRMS Review and Judgment of Historical Roles of Chinese Securities Companies Differentiation of Business Regions Advanced Risk-Management Concepts Varying Service Capabilities and Overall Need for Improvement Growth Traits of Securities Companies Sponsor Qualifications CONSTRUCTION OF NEW PROFITABILITY MODELS Analysis of Sponsor Institution and Representative Credit Regulation by Regulatory Measures Comparison of the Sponsor Systems of Various Countries Ambiguous Rights and Responsibilities between the Sponsor Institution and Other Intermediary Institutions. The Effect of Location on the Profitability Structure Risk Management of Investment Banks Tougher Penalties for Law-Breaching Sponsors Mixed Companies Selection of Landing Site for Financial Holding Model Institutional Change Some Puzzling Aspects of This Reverse Takeover Deal INTRINSIC FLAW OF THE SPONSOR SYSTEM: IMBALANCE BETWEEN PROFIT AND RISK Chartered Financial Analysts (CFA) Functional Divisions Sponsor Structure Management of Risks Associated with the Brokerage Business of Securities Companies Sources of Risks Facing Securities Companies The Preliminary Phase of Chinese Securities Companies—1987 to 1995 Specifying the Rights and Responsibilities between the Sponsor and the Issuer Lessons The U.K. Alternative Investment Market (AIM): Lifelong Sponsor System Acknowledgments The Promoters of Change in the Chinese Financial System Management of Risks Associated with Proprietary Business of Securities Companies Marketing Service Management Talent Improving Understanding of Internal Control Systems Functional Requirements for Wealth Management Service Personnel Information Plays an Essential Role in Business Competition Core Points of View The Impact of Securities Firms as Public Companies Changes of GDP and Disposal Income Per Capita Management of Risks Associated with the Direct Investment Business of Securities Companies CHARACTERISTICS OF THE PROFITABILITY MODEL OF SECURITIES COMPANIES U.S. Investment Bank Business Structure Case Study: Goldman Sachs Taking Full Advantage of Advanced Risk-Management Techniques without Relying Too Much on Them CITIC Securities—Equal Importance to Tradition and Innovation, Firm Foothold in China, and Aggressive Exploration Overseas Major Sources Risks in Securities Proprietary Business Solid Evaluation and Incentive Mechanisms Are Needed Ambiguous Rights and Responsibilities for the Sponsor Representative and the Sponsor Risk Management in Securities Companies Post Financial Crisis Management of Risks Associated with Stock Index Future Business Wealth Management Capabilities The Infancy Phase—1987 to 1990 Boosted Development of a Financial System Anchored on the Securities Market Asset Management Business—Product Innovation Analysis of the Annual Frequency of Punishments against Sponsors The Chinese Mainland Stock Markets: From Quota Management to Sponsor System Independent Securities Firms Must Find Their Competitive Advantage over Financial Holding Company-Controlled Securities Firms by Differentiation Primary Crossover (1987-1994) Governance Structures of Investment Banks in Mature International Markets General Analysis of Business Structures of Investment Banks in the United States Financial Market Service Providers Background and Significance of Studies on Securities Company Profitability Models The Case of Hepalink The Five Factors of Internal Control Strengthening Regulation on the Securities Market, Especially the OTC Market Sources of Risks in Stock Index Futures Business Cultivation and Growth of Innovative Business Punishment for Rule-Breaching Sponsors Pan-Banking Characteristics Family Business and Partnership Missteps of Chinese Securities Firms and Lessons Learned Supervising the Wealth Management Plan Global Investors' Services Direct Investment Regulators Should Also Create Conditions for the Growth of Private Securities Firms The Hong Kong Growth Enterprise Market: A System of Decomposed Sponsor Roles Evolution Prediction REVIEW OF THE PROS AND CONS OF CHINESE SECURITIES COMPANIES Wealth Manager

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