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A short course of lectures
«Chinese securities companies»





Characteristics of Securities Company HR Management Determined by the IndustryQuantitative Risk-Management Method Sponsor Competence StandardizationSpecifying 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 ExpansionLiquidity 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 SamplingAnalysis of Risk Management in Chinese Securities CompaniesSTATUS QUO AND TREND ANALYSIS OF RISK MANAGEMENT IN SECURITIES COMPANIESMultilevel, Diversified Independent Securities FirmsQuantitative Analysis of Talent Demand COMPARATIVE ADVANTAGES AND DISADVANTAGES OF WEALTH MANAGEMENT TALENT IN THE SECURITIES INDUSTRYSponsor Regimes in Overseas Securities MarketManagement of Risks Associated with Securities Margin TradingLessons DIRECTION FOR SPONSOR SYSTEM REFORMNormalized Development Phase, 2005 to 2011Theoretical and Practical Judgment Based on Functions of Securities CompaniesWhat Can China Learn from Overseas Investment Bank Regulation SystemsAmbiguous 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 CrisisOrganization 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 BrothersLessons Asset Management Business Regulatory Framework for Financial Asset Management Company-Based Financial Holding Model CASE STUDIESRisk-Management MethodsAbout CITIC Securities Functional Evolution—An Analysis with Particular Interest to the Function of an Underwriter's GoodwillThe Malaysia MESDAQ Market: Relay Sponsor System Management of Risks Associated with Research and Investment Consultancy Business Categorization of International Investment Bank Regulation SystemsMarketization and Emerging Private Securities FirmsManagement of Risks Associated with Brokerage BusinessClassified Oversight and the Impact ANALYSIS OF BUSINESS STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSSigns of a Transition in the Profitability ModelManagement of Risks Associated with Securities Margin Trading Business of Securities CompaniesWhat China Can Learn from the Business Structures of American Investment BanksMisappropriation of Clients' Security Deposits by Securities Firms and the Industry-wide CrisisThe Main Driving Force of an Emerging International Financial Center in ChinaHaitong Securities: A Shady DealA Global Perspective Of Capital Markets Operational Risks RULE BREAKING SPONSOR—CASE STUDIESChannelizedHistorical DataEvolutionary History and Structural Patterns of Investment Banks in the United StatesANALYSIS OF PUNISHMENTS IMPOSED BY THE CSRC ON RULE-BREACHING SPONSORSStock Index Futures What China Can Learn from the Organizational Structures of Investment Banks in Mature International MarketsIncompetence of SponsorsHISTORIC CONTRIBUTIONS OF CHINESE SECURITIES FIRMSHow 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 ServicesTreasury Bond Incident The Impairment of Insider Trading on Market Accountability and Investor Interests Heterogeneous Financial Conglomerates (HFC) Industrial Securities: Robust ManagementORGANIZATION AND MANAGEMENT IN INVESTMENT RANKS: A GENERAL ANALYSIS RASED ON INSTITUTIONAL RANKING AND FUNCTIONAL RANKINGSecurities Margin Trading BusinessThe Structure of the Board of Directors SOME DIRECTIONS FOR THE FUTURE DEVELOPMENT OF CHINESE SECURITIES FIRMSImproving Stock Issuance Pricing System and Securities Market Litigation SystemControl Activities Unreasonable Sources of Income for SponsorsThird-Party Wealth Management Companies U.S. Investment Bank Business Structure Case Study: Morgan StanleyHigh Personnel Mobility Becomes a Double-Edge Sword in Human Resource ManagementManagement of Risks Associated with Asset Management Business of Securities CompaniesMajor Categories Of Risks Criteria for an Ideal Future Management Model for Chinese Securities Firms: Factors Within FirmsHistory Create an International VisionManagement of Risks Associated with Investment Banking Business of Securities CompaniesEmpirical Tests and ResultsSecurities Proprietary Business Risk ManagementBusiness Growth Is Driven by Innovation Brokerage Commission Business Recommending Possible Solutions Analysis of the Profit Model of Chinese Securities CompaniesAppropriately Spreading Out Equity and Enhancing the Foundation of Internal ControlProprietary Business An Empirical Study of the Function of a Securities Underwriter's GoodwillRisks Associated with the Direct Investment BusinessSenior Managers Future Development and Reform Focuses of Chinese Securities Companies—General PrincipleManagement of Risks Associated with Investment Banking Business of Securities CompaniesInvestment Bank Regulation System in the United KingdomStrict Separation Of Activities (1995-1999) Sources of Risks in Asset Management BusinessDevelopment of Both Wholly Owned and Equity-Controlled Business; Taking Root in Beijing, Guangdong, Shanghai, Zhejiang, and Shandong; Brokerage Accounting for Half of the RevenuesTHEORETICAL ANALYSIS OF FINANCIAL FUNCTIONALITY The CICC: Going UpscaleRegulators 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 SponsorsRisk Management for the Direct Investment BusinessActive Contributions to Activating Idle Social Assets and Improving Overall Operational Quality of National Economy DEMAND FOR TALENTS IN THE DEVELOPMENT OF THE SECURITIES INDUSTRYRisk Assessment Securities Regulation System Further Streamlined ANALYSIS OF INVESTMENT BANK REGULATION IN MATURE OVERSEAS MARKETSSpecifying the Rights and Responsibilities of the Sponsor, the Issuer, and the RegulatorAnalysis of Traditional BusinessPromoting Restructuring and M&A Services Setting Internal Control Objectives in a Dynamic Way for Different Periods of Time Messages in Terms of RegulationDifferentiation of Profitability Models among Securities Traders as Larger Ones Become More Weil-Rounded and InternationalizedProviding and Implementing Suggestions Profit Growth Points Brought about by Innovative BusinessPROFITABILITY STRUCTURES OF CHINESE SECURITIES COMPANIESMANAGEMENT OF RISKS ASSOCIATED WITH INNOVATIVE BUSINESS OF SECURITIES COMPANIESRisk Management of Overseas Securities CompaniesDiversified Business Categorization Requires the Leadership of the Company to Play a Leading Role in a Series of Human Resources Decisions Interdisciplinary TalentMessages in Terms of Corporate Governance and Internal ControlInspirations Drawn from the Financial Crisis for the Risk Management of Securities CompaniesTeam Building Should Be Conducted in a Coordinated WayAmbiguous Rights and Responsibilities among the Sponsor, the Issuer, the Regulator, and Other Intermediary InstitutionsThe Irreversible Trend of Economic and Financial Globalization Contents of the Wealth Management BusinessParticularities of Securities Issuance and TradingAnalysis of the Status Quo of Risk Management in Chinese Securities CompaniesUndermotivated Innovation and Underdeveloped Competitiveness of Securities Companies Organization and Management in Investment Banks: A Global PerspectiveThe Fast-Development Phase of Chinese Securities Companies, 1996 to 2001Rapidly Expanding Stock Market Transform Business ModelsTHE BIRTH AND GROWTH OF CHINESE SECURITIES COMPANIES—A BRIEF HISTORYCriteria for an Ideal Future Management Model for Chinese Securities FirmsEquity Structure Modern Financial Holding Companies Restructuring Existing Brokerage Services and Placing Broker Services at the Core The Meaning of Strategic Risk ManagementThe Effect of an Enterprise's Scale on Its Profitability Structure Internal Environment Development Trend of Human Resource Management in Securities Companies in the FutureORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS: A HISTORICAL AND THEORETICAL REVIEWCORE COMPETITIVE EDGERisk AllocatorLessons Analysis on Structure and Competitiveness of Talent in Chinese Securities CompaniesCapabilities in M&A and Reorganization of Resources AvailableProprietary Business—Actively Taking Part in Market Transactions NOTE FROM THE AUTHORIdentifying Potential Problems PROFIT METHODS OF THE MAIN BUSINESS OF SECURITIES COMPANIESUniformityHard-Earned Success Analysis of the Management Model of Chinese Securities CompaniesORIGIN AND DEVELOPMENT OF THE SPONSOR REGIME IN CHINASOME IDEAS OF OVERALL POLICY FOR FUTURE ORGANIZATIONAL AND MANAGEMENT TRANSFORMATION IN CHINESE SECURITIES FIRMSSOME PRIORITIES OF FUTURE REFORM IN CHINESE SECURITIES FIRMSStrengthening Regulation on Derivatives Creating a Harmonious Financial Investment Culture for a Mutually Beneficial OutcomeSoochow Securities—Brokerage Supplemented with Investment Banking, Firm Regional Foothold, and Nationwide ExplorationFocusing on the Cultivation of Financial Holding Companies in Keeping with the Trend Of the Time Low-Profile Reverse Takeover Deal-Making Publicly Held Companies PrefaceRegulators Should Establish a Sound Regulatory Policy Framework for Private Securities Firms About the CICC Administration and Rectification Phase, 2001 to 2005Investment Banks in the Financial System: Definition and Functional OrientationJun'an Securities: The Fall of a StarEarly Glory Core Competitive Strength of Securities CompaniesEvolutionary History and Structural Patterns of Investment Banks in JapanMANAGEMENT OF RISKS ASSOCIATED WITH TRADITIONAL BUSINESS OF CHINESE SECURITIES COMPANIESPost Purge Institutional Environment for Risk Management in Securities CompaniesWanguo Securities: A Story about a Broken DreamMajor Sources of Risks in Investment Banking BusinessProfit Structure of the Securities Company Wealth Management Talent Environment AnalysisThe Citigroup Model Internal Incentives for Market Evolution of China's Financial StructureOrganizational Forms of Investment Banks in Mature International MarketsInnovation-Powered Business Growth: Two TransformationsAnalysis of Sponsor Regime for Chinese Securities CompaniesFinancial Holding Companies: The Best Model for Large Investment Banks in the Tendency toward IntegrationRaise the Capital Scale of Securities Companies GF Securities: A Success Story of an Ordinary Unprivileged BusinessIdentifying Their Purposes and Goals An Innovator in Financial ProductsRisk Management in Chinese Securities CompaniesExpediting 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 KingdomU.S. Investment Bank Business Structure Case Study: Merrill LynchSupervision Sponsor Representative OVERVIEW OF THE DEVELOPMENT HISTORY OF INVESTMENT BANKS IN THE MATURE OVERSEAS MARKETNumber 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 MARKETSTheoretical Frameworks for Human Resource Management in Securities CompaniesFinancial 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 SkillsMarket 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 FUTUREThe Case of Suzhou Hengjiu Photo-ElectronicMore Severe Punishment Needed for Breaching SponsorsInvestment 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 CompaniesCompliance Generates Power for the Sustainable Development Mechanism Tying Profit to Duties Performed by a SponsorResource Input Analysis Investment Banks: A Brief Survey from the Perspective of Separation of Activities Professional TalentEvaluating 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 MarketsExploring New Business Models in Asset Management Services Risk Management CITIC Securities: The Benchmark MakerThe Meaning of Profitability Model for a Securities CompanyConsolidating Securities Underwriting Services Information Management Internal Logic for Organizational and Management Evolution in Chinese Securities FirmsANALYSIS OF THE INTERNAL CONTROL OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSMessages in Terms of Organizational StructureClient Group Analysis Chinese Depository System ReformAnalysis of Innovative BusinessDifferentiated Marketing Messages in Terms of Business StructureStrategic Risks and Risk-Management Strategies of Securities CompaniesCASE STUDIES: TYPICAL CHINESE SECURITIES FIRMS The Investment Bank Regulation System in the United StatesAsset Securitization CapabilitiesDevelopment Trends of Securities CompaniesFunctional 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 FactorsService Capability Analysis ANALYSIS OF THE ORGANIZATIONAL STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSLessons Promote Differentiation-Based Management and CompetitionSponsor Duty System INSTITUTIONAL CHANGE AND FUNCTIONAL EVOLUTION FOR CHINESE SECURITIES FIRMS—AN ANALYSIS WITH PARTICULAR INTEREST IN THE FUNCTION OF AN UNDERWRITER'S GOODWILLBoard of Supervisors and the Management Brokerage Business—Specialized Operation EFFECTIVE TALENT MANAGEMENT IN SECURITIES COMPANIESExperience and Lessons from International Investment Banks (Securities Companies) in Mature MarketsDevelopment Paths of Overseas Investment Banks as Inspirations for ChinaOperations and Oversight Based on Separation of Activities and the Financial Holding ModelProduct Pricing THEORETICAL ANALYSIS OF PROFITABILITY MODELSAbout the AuthorBusiness Model ACultivating 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 FUNCTIONDEVELOPMENT TREND AND CORE COMPETITIVE STRENGTH IN THE SECURITIES INDUSTRYInvestment Research Talent Functions of information Marketplaces and Securities FirmsThe Merrill Lynch Model Major Sources of Risks in the Brokerage Business Management of Risks Associated with Research and Investment Consultancy Business of Securities CompaniesHow 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 CompanyFinancial Holding Companies: DefinitionFarsighted Development Strategy and Efficient Capital Operation Analysis of Functions of Chinese Securities CompaniesDeterminants of Organization and Management Overall Profitability StructureEmphasize 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 SystemInnovation in Traditional BusinessThe General Growth Trend of the Chinese Economy Going ForwardDifferentiated 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 DefinedConcurrence of Separation and Crossover (Since 2000) Evolutionary History and Structural Patterns of Investment Banks in GermanyAmbiguous Rights and Responsibilities between the Sponsor and the Issuer Analysis of Risks Associated with Securities Margin TradingFour Factors Determining the Competitive Edge of Securities CompaniesHistory Facilitating Stock Reforms of State-Owned Companies and Improving Quality of Corporate OperationsInternational Finance-Related Services Basic Functions of Securities Companies in the Financial System Wealth ManagerSELECTION OF MODELS (GOALS) FOR CHANGE OF ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMSChange of Activities and in Organization and Management in the Chinese Securities FirmsFUNCTIONAL ORIENTATION FOR SECURITIES FIRMSReview and Judgment of Historical Roles of Chinese Securities CompaniesDifferentiation 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 MODELSAnalysis of Sponsor Institution and Representative Credit Regulation by Regulatory MeasuresComparison of the Sponsor Systems of Various CountriesAmbiguous Rights and Responsibilities between the Sponsor Institution and Other Intermediary Institutions. The Effect of Location on the Profitability StructureRisk Management of Investment BanksTougher Penalties for Law-Breaching SponsorsMixed Companies Selection of Landing Site for Financial Holding Model Institutional ChangeSome Puzzling Aspects of This Reverse Takeover DealINTRINSIC FLAW OF THE SPONSOR SYSTEM: IMBALANCE BETWEEN PROFIT AND RISKChartered Financial Analysts (CFA) Functional Divisions Sponsor Structure Management of Risks Associated with the Brokerage Business of Securities CompaniesSources of Risks Facing Securities CompaniesThe Preliminary Phase of Chinese Securities Companies—1987 to 1995Specifying the Rights and Responsibilities between the Sponsor and the Issuer Lessons The U.K. Alternative Investment Market (AIM): Lifelong Sponsor System AcknowledgmentsThe Promoters of Change in the Chinese Financial SystemManagement of Risks Associated with Proprietary Business of Securities CompaniesMarketing Service Management Talent Improving Understanding of Internal Control Systems Functional Requirements for Wealth Management Service PersonnelInformation Plays an Essential Role in Business Competition Core Points of ViewThe Impact of Securities Firms as Public Companies Changes of GDP and Disposal Income Per CapitaManagement of Risks Associated with the Direct Investment Business of Securities CompaniesCHARACTERISTICS OF THE PROFITABILITY MODEL OF SECURITIES COMPANIESU.S. Investment Bank Business Structure Case Study: Goldman SachsTaking 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 OverseasMajor Sources Risks in Securities Proprietary Business Solid Evaluation and Incentive Mechanisms Are NeededAmbiguous Rights and Responsibilities for the Sponsor Representative and the SponsorRisk Management in Securities Companies Post Financial CrisisManagement of Risks Associated with Stock Index Future BusinessWealth Management CapabilitiesThe 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 SponsorsThe Chinese Mainland Stock Markets: From Quota Management to Sponsor SystemIndependent 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 MarketsGeneral Analysis of Business Structures of Investment Banks in the United StatesFinancial Market Service ProvidersBackground and Significance of Studies on Securities Company Profitability ModelsThe Case of HepalinkThe Five Factors of Internal ControlStrengthening Regulation on the Securities Market, Especially the OTC Market Sources of Risks in Stock Index Futures BusinessCultivation and Growth of Innovative BusinessPunishment for Rule-Breaching SponsorsPan-Banking CharacteristicsFamily Business and Partnership Missteps of Chinese Securities Firms and Lessons LearnedSupervising 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 PredictionREVIEW OF THE PROS AND CONS OF CHINESE SECURITIES COMPANIESWealth Manager
 
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