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Chinese securities companies

A short course of lectures
«Chinese securities companies»

Promote Differentiation-Based Management and Competition Lessons 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 System Sponsor Competence Standardization Evaluating the Overall Financial Condition of the Individual at Present Wealth Management Talent Environment Analysis Analysis of Functions of Chinese Securities Companies Growth 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 Brothers Investment Bank Regulation System in the United Kingdom Strict Separation Of Activities (1995-1999) Financial Market Service Providers How 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 Sponsors The Effect of Location on the Profitability Structure Risk Management of Investment Banks CASE STUDIES Board of Supervisors and the Management Product Pricing Tougher Penalties for Law-Breaching Sponsors Compliance Risks Innovation in Traditional Business CASE STUDIES: TYPICAL CHINESE SECURITIES FIRMS Incompetence of Sponsors Consolidating Securities Underwriting Services ANALYSIS OF THE INTERNAL CONTROL OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Unreasonable Sources of Income for Sponsors Marketization and Emerging Private Securities Firms The Meaning of Profitability Model for a Securities Company Determinants of Organization and Management Criteria for an Ideal Future Management Model for Chinese Securities Firms Some Experience Gained from Undergoing Pilot Programs of the Financial Holding Model and Integration Of Activities Major Sources of Risks in Investment Banking Business Risk 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-Electronic Proprietary 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 Companies The 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 Way Improving Risk-Management Architecture, Making High-Caliber Personnel Messages in Terms of Business Structure MANAGEMENT OF RISKS ASSOCIATED WITH TRADITIONAL BUSINESS OF CHINESE SECURITIES COMPANIES The 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 FIRMS Analysis of the Annual Frequency of Punishments against Sponsors Strategy Is Vital to Success Sponsor Duty System Quantitative Analysis of Talent Demand Securities Proprietary Business Risk Management CHARACTERISTICS OF THE PROFITABILITY MODEL OF SECURITIES COMPANIES Risk Management in Chinese Securities Companies Market 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 Revenues Varying Service Capabilities and Overall Need for Improvement Heterogeneous Financial Conglomerates (HFC) Chartered Financial Analysts (CFA) Management of Risks Associated with Brokerage Business Guaranteed Market Liquidity The Chinese Mainland Stock Markets: From Quota Management to Sponsor System GF Securities: A Success Story of an Ordinary Unprivileged Business Farsighted Development Strategy and Efficient Capital Operation DEVELOPMENT TREND AND CORE COMPETITIVE STRENGTH IN THE SECURITIES INDUSTRY SOME DIRECTIONS FOR THE FUTURE DEVELOPMENT OF CHINESE SECURITIES FIRMS The Investment Bank Regulation System in the United States Appeal 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 Goodwill Lessons International Finance-Related Services NOTE FROM THE AUTHOR Lessons A Case Study of Misappropriation of Client Security Deposits by Chinese Securities Firms What China Can Learn from the Business Structures of American Investment Banks Risk Allocator Capabilities in M&A and Reorganization of Resources Available What China Can Learn from the Organizational Structures of Investment Banks in Mature International Markets Differentiation of Profitability Models among Securities Traders as Larger Ones Become More Weil-Rounded and Internationalized Professional Talent Changes of GDP and Disposal Income Per Capita Marketing Service Management Talent Information Plays an Essential Role in Business Competition Normalized Development Phase, 2005 to 2011 Functions of information Marketplaces and Securities Firms What Can China Learn from Overseas Investment Bank Regulation Systems Haitong Securities: A Shady Deal The Infancy Phase—1987 to 1990 ANALYSIS OF PUNISHMENTS IMPOSED BY THE CSRC ON RULE-BREACHING SPONSORS Wanguo Securities: A Story about a Broken Dream PROFITABILITY STRUCTURES OF CHINESE SECURITIES COMPANIES Wealth Manager Advanced 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 Integration Internal 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 Companies Major Sources Risks in Securities Proprietary Business U.S. Investment Bank Business Structure Case Study: Merrill Lynch A Transition from Channels to Services Recommending Possible Solutions Future Development and Reform Focuses of Chinese Securities Companies—General Principle Promoted the Creation of Diverse Social Assets and Expanded Citizens' Investment Options SELECTION OF MODELS (GOALS) FOR CHANGE OF ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS Inspirations Drawn from the Financial Crisis for the Risk Management of Securities Companies Multilevel, Diversified Independent Securities Firms ANALYSIS OF BUSINESS STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS How Securities Firms Function: Information Network, Reputation Management, and Tacit Skills Rapidly Expanding Stock Market The Fast-Development Phase of Chinese Securities Companies, 1996 to 2001 Analysis of Innovative Business The Meaning of Strategic Risk Management Management of Risks Associated with Asset Management Business of Securities Companies Low-Profile Reverse Takeover Deal-Making DIRECTION FOR SPONSOR SYSTEM REFORM DEMAND FOR TALENTS IN THE DEVELOPMENT OF THE SECURITIES INDUSTRY Mixed Companies Policy Risks Criteria for an Ideal Future Management Model for Chinese Securities Firms: Factors Within Firms Institutional Change Risk-Management Architecture Risk Management for the Direct Investment Business Asset Management Business—Product Innovation Control Activities Profit Growth Points Brought about by Innovative Business Management of Risks Associated with Securities Margin Trading Preliminary Formation of a Separated Regulation Model in the Securities Industry Management of Risks Associated with Investment Banking Business of Securities Companies CHANGE OF THE CHINESE DEPOSITORY SYSTEM FOR SECURITY DEPOSITS AND HOW CHINESE SECURITIES FIRMS FUNCTION An Empirical Study of the Function of a Securities Underwriter's Goodwill Organizational Forms of Investment Banks in Mature International Markets Management of Risks Associated with the Direct Investment Business of Securities Companies The Coup Risk Assessment Development Trend of Human Resource Management in Securities Companies in the Future Securities Margin Trading Business Financial 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 Institutions Risk Management in Securities Companies Post Financial Crisis COMPARATIVE ADVANTAGES AND DISADVANTAGES OF WEALTH MANAGEMENT TALENT IN THE SECURITIES INDUSTRY Ambiguous Rights and Responsibilities for the Sponsor Representative and the Sponsor Administration and Rectification Phase, 2001 to 2005 Sources of Risks Facing Securities Companies Analysis of Sponsor Regime for Chinese Securities Companies EFFECTIVE TALENT MANAGEMENT IN SECURITIES COMPANIES Sources of Risks in Asset Management Business Boosted Development of a Financial System Anchored on the Securities Market Financial Holding Companies: Definition Particularities of Securities Issuance and Trading The Five Factors of Internal Control Preface CITIC Securities: The Benchmark Maker Misappropriation of Clients' Security Deposits by Securities Firms and the Industry-wide Crisis Emphasize Corporate Culture, Avoid "Lone Wolf" Approaches Categorization of International Investment Bank Regulation Systems Strengthening 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 Companies ANALYSIS OF INVESTMENT BANK REGULATION IN MATURE OVERSEAS MARKETS The Case of Hepalink INTRINSIC FLAW OF THE SPONSOR SYSTEM: IMBALANCE BETWEEN PROFIT AND RISK Asset Securitization Capabilities The Term of Sponsors Management of Risks Associated with Research and Investment Consultancy Business of Securities Companies CITIC Securities—Equal Importance to Tradition and Innovation, Firm Foothold in China, and Aggressive Exploration Overseas How 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 Author Analysis of Problems in Risk Management of U.S. Investment Banks during the Financial Crisis Raise the Capital Scale of Securities Companies Hypothesis and Sampling Management of Risks Associated with Stock Index Future Business Profitability Model Needs to Be Clearly Defined Empirical Tests and Results Evolutionary History and Structural Patterns of Investment Banks in Japan Evolutionary History and Structural Patterns of Investment Banks in the United Kingdom Wealth Manager Specifying the Rights and Responsibilities of the Sponsor, the Issuer, and the Regulator Management of Risks Associated with Investment Banking Business of Securities Companies Selection of Landing Site for Financial Holding Model Undermotivated Innovation and Underdeveloped Competitiveness of Securities Companies Analysis of Risks Associated with Securities Margin Trading Brokerage Business—Specialized Operation Contents of the Wealth Management Business The 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 Expansion The CICC: Going Upscale Risk Management of Overseas Securities Companies Operations and Oversight Based on Separation of Activities and the Financial Holding Model Facilitating Stock Reforms of State-Owned Companies and Improving Quality of Corporate Operations Chinese Depository System Reform Analysis on Structure and Competitiveness of Talent in Chinese Securities Companies About the CICC A Global Perspective Of Capital Markets Investment Banks in the Financial System: Definition and Functional Orientation Some Puzzling Aspects of This Reverse Takeover Deal Identifying Potential Problems An Innovator in Financial Products Exploring New Business Models in Asset Management Services Tying Profit to Duties Performed by a Sponsor Core Points of View Information Management Industrial Securities: Robust Management The Impairment of Insider Trading on Market Accountability and Investor Interests Business Model A Profitability Of Securities Firms Enhanced Operational Risks REVIEW OF THE PROS AND CONS OF CHINESE SECURITIES COMPANIES Functional Requirements for Wealth Management Service Personnel Management of Risks Associated with Proprietary Business of Securities Companies The Malaysia MESDAQ Market: Relay Sponsor System ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS: A HISTORICAL AND THEORETICAL REVIEW Investment Research Talent Development Paths of Overseas Investment Banks as Inspirations for China FUNCTIONAL ORIENTATION FOR SECURITIES FIRMS Evolutionary History and Structural Patterns of Investment Banks in the United States Analysis of the Management Model of Chinese Securities Companies RULE BREAKING SPONSOR—CASE STUDIES Comparison of the Sponsor Systems of Various Countries Ambiguous Rights and Responsibilities between the Sponsor and the Issuer The Promoters of Change in the Chinese Financial System The 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 COMPANIES THE EVOLUTION OF CHINESE FINANCIAL STRUCTURE IN THE FUTURE THE BIRTH AND GROWTH OF CHINESE SECURITIES COMPANIES—A BRIEF HISTORY Supervision Attaching Importance to Risk Identification and Response While Setting Strategic Goals for Internal Control Internal Factors CORE COMPETITIVE EDGE Change of Activities and in Organization and Management in the Chinese Securities Firms Risk-Management Methods Sponsor Representative Analysis of Risk Management in Chinese Securities Companies Ambiguous 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 System Lessons HISTORIC CONTRIBUTIONS OF CHINESE SECURITIES FIRMS Specifying 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 Measures Resource Input Analysis Uniformity Strongly Enhanced the Development of Transparency in the Capital Market Providing and Implementing Suggestions Analysis of the Market Boards of Breaching Sponsors Equity Structure Investment Banking Business—Transitioning toward Equal Importance for Securities Issuance and Financial Consultancy Interdisciplinary Talent Wealth Management Capabilities Diversified 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 China The Structure of the Board of Directors Messages in Terms of Corporate Governance and Internal Control Create an International Vision History General Analysis of Business Structures of Investment Banks in the United States Investment Banks: A Brief Survey from the Perspective of Separation of Activities Investment Banking Business Differentiated Products and Services Innovation-Powered Business Growth: Two Transformations Core Competitive Strength of Securities Companies Characteristics of Securities Company HR Management Determined by the Industry ANALYSIS OF THE ORGANIZATIONAL STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Regulators Should Also Create Conditions for the Growth of Private Securities Firms What China Can Learn From Internal Control of Investment Banks in Mature International Markets Strengthening Regulation on Derivatives Internal Incentives for Market Evolution of China's Financial Structure Cultivating Core Business, Launching Differentiated Services and Specialty Services Historical Data Strategic Risks and Risk-Management Strategies of Securities Companies Factors Affecting the Profit Model of a Securities Company Governance Structures of Investment Banks in Mature International Markets STATUS QUO AND TREND ANALYSIS OF RISK MANAGEMENT IN SECURITIES COMPANIES Promoting Restructuring and M&A Services Historical Performance of the Function of Goodwill History Punishment for Rule-Breaching Sponsors Sources of Risks in Stock Index Futures Business Service Capability Analysis Overall Profitability Structure Regulators 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 Companies Evolutionary History and Structural Patterns of Investment Banks in Germany The Hong Kong Growth Enterprise Market: A System of Decomposed Sponsor Roles MANAGEMENT OF RISKS ASSOCIATED WITH INNOVATIVE BUSINESS OF SECURITIES COMPANIES Evolution Prediction Jun'an Securities: The Fall of a Star Identifying Their Purposes and Goals Differentiated Marketing Third-Party Wealth Management Companies Primary Crossover (1987-1994) Sponsor Regimes in Overseas Securities Market The Citigroup Model WHAT CHINA CAN LEARN FROM THE DEVELOPMENT OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETS Cultivation and Growth of Innovative Business Signs of a Transition in the Profitability Model Profit Methods of the Securities Company Missteps of Chinese Securities Firms and Lessons Learned U.S. Investment Bank Business Structure Case Study: Morgan Stanley Securities 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 Control Profit Structure of the Securities Company Basic Functions of Securities Companies in the Financial System Management of Risks Associated with Asset Management Business of Securities Companies Transform Business Models Pan-Banking Characteristics Functional Orientation of Investment Banks Optimizing Governance Structures and Improving Operation Efficiency of Securities Companies Creating a Harmonious Financial Investment Culture for a Mutually Beneficial Outcome Channelized Acknowledgments The Preliminary Phase of Chinese Securities Companies—1987 to 1995 Expediting 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 Models THEORETICAL ANALYSIS OF PROFITABILITY MODELS Direct Investment OVERVIEW OF THE DEVELOPMENT HISTORY OF INVESTMENT BANKS IN THE MATURE OVERSEAS MARKET Experience and Lessons from International Investment Banks (Securities Companies) in Mature Markets U.S. Investment Bank Business Structure Case Study: Goldman Sachs Internal Logic for Organizational and Management Evolution in Chinese Securities Firms Proprietary 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 Exploration Global Investors' Services Senior Managers ORGANIZATION AND MANAGEMENT IN INVESTMENT RANKS: A GENERAL ANALYSIS RASED ON INSTITUTIONAL RANKING AND FUNCTIONAL RANKING Product Une Analysis Analysis of Traditional Business Lessons The General Growth Trend of the Chinese Economy Going Forward Solid Evaluation and Incentive Mechanisms Are Needed Regulatory Framework for Financial Asset Management Company-Based Financial Holding Model CONSTRUCTION OF NEW PROFITABILITY MODELS ORIGIN AND DEVELOPMENT OF THE SPONSOR REGIME IN CHINA Family Business and Partnership Messages in Terms of Organizational Structure The 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 FIRMS Hard-Earned Success Risks Associated with the Direct Investment Business Analysis of the Profit Model of Chinese Securities Companies Post Purge Institutional Environment for Risk Management in Securities Companies Management of Risks Associated with the Brokerage Business of Securities Companies Major Sources of Risks in the Brokerage Business Analysis of the Status Quo of Risk Management in Chinese Securities Companies Management of Risks Associated with Securities Margin Trading Business of Securities Companies Stock Index Futures Improving Understanding of Internal Control Systems Messages in Terms of Regulation Differentiated Market Positioning Theoretical Frameworks for Human Resource Management in Securities Companies Specifying 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 GOODWILL High Personnel Mobility Becomes a Double-Edge Sword in Human Resource Management Organization and Management in Investment Banks: A Global Perspective

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