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Dissertations / Theses on the topic 'Securities'

Author: Grafiati

Published: 4 June 2021

Last updated: 25 July 2025

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1

Křížek, Jakub. "Trust Preferred Securities." Master's thesis, Vysoká škola ekonomická v Praze, 2007. http://www.nusl.cz/ntk/nusl-1689.

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Jednou z možných odpovědí na vzrůstající kapitálové požadavky může být použití hybridního kapitálu. Hybridy jsou sofistikované a důmyslně strukturované instrumenty, které kombinují základní vlastnosti dluhu i equity. Kvalifikují se jako regulatorní TIER 1 kapitál a zároveň umožňují daňovou odečitatelnost dividendových plateb. Kvůli rostoucímu využívání hybridních instrumentů bankovní regulátoři sestavili řadu kritérií, která musí hybridní kapitál splňovat. Nejčastěji je posuzována jejich permanentnost, flexibilita dividendových plateb a schopnost absopce ztrát. Český regulatorní rámec zatím hy

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2

Adawiah, Engku Rabiah. "Securities regulation and the prevention of securities fraud : a comparative study." Thesis, University of Aberdeen, 1998. http://digitool.abdn.ac.uk/R?func=search-advanced-go&find_code1=WSN&request1=AAIU532150.

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The study aims at identifying the most appropriate and effective approach towards securities regulation and the prevention of securities fraud, given the specific legal and socio-economic circumstances of a particular country. On the basis of the above premise, a number of more specific objectives of the study can be drawn, namely: • to ascertain the need for securities regulation by examining the concept and theory of regulation; • to examine the concept and theory of securities fraud by highlighting some of the definitional and criminological debate on it; • to evaluate the merits and demeri

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3

Arquint, Seraina. "Investments in Distressed Securities." St. Gallen, 2007. http://www.biblio.unisg.ch/org/biblio/edoc.nsf/wwwDisplayIdentifier/01648310002/$FILE/01648310002.pdf.

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4

Xu, Qing. "Pricing multi-state lookback-style derivatives /." View abstract or full-text, 2009. http://library.ust.hk/cgi/db/thesis.pl?MATH%202009%20XU.

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5

Haentjens, Matthias. "Harmonisation of securities law : custody and transfer of securities in European private law /." Alphen aan den Rijn : Kluwer Law International, 2007. http://www.loc.gov/catdir/toc/fy0803/2008270798.html.

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6

Schwartz, Deborah Peterson. "The risk considerations of commercial mortgage backed securities : a comparison of three securities." Thesis, Massachusetts Institute of Technology, 1995. http://hdl.handle.net/1721.1/70262.

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7

Ramphal, Nishal Ray. "The role of public and private litigation in the enforcement of securities laws in the United States." Santa Monica, Calif. : RAND, 2007. http://www.rand.org/pubs/rgs_dissertations/2007/RAND_RGSD224.pdf.

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8

Yeh, Ho-leung Patrick, and 葉浩良. "The impact of new issues of derivative securities and the underlying blue chip securities." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 1998. http://hub.hku.hk/bib/B31269485.

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9

Yeh, Ho-leung Patrick. "The impact of new issues of derivative securities and the underlying blue chip securities /." Hong Kong : University of Hong Kong, 1998. http://sunzi.lib.hku.hk/hkuto/record.jsp?B19872446.

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10

Wang, Yue. "Securities fraud an economic analysis /." College Park, Md. : University of Maryland, 2005. http://hdl.handle.net/1903/2457.

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Thesis (Ph. D.) -- University of Maryland, College Park, 2005.<br>Thesis research directed by: Business and Management. Title from t.p. of PDF. Includes bibliographical references. Published by UMI Dissertation Services, Ann Arbor, Mich. Also available in paper.

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11

Liu, Yang. "Modelling portfolios of credit securities." Thesis, City University London, 2010. http://openaccess.city.ac.uk/8605/.

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The study of credit derivatives is one of the most popular and controversial issues that concerns the entire financial industry. Increases of defaults and bankruptcies during the recent credit crunch has stipulated a heated debate about the adequacy of the existing pricing and hedging methodologies for credit derivatives portfolios. The main objective of this thesis is to propose and evaluate a treatable framework that addresses many of the deferences of the standard market model for portfolios of credit instruments. After review and product introductions in CHAPTER 1 we first summarize the co

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12

Hutton, J. P. "Fast valuation of derivative securities." Thesis, University of Essex, 1995. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.282493.

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13

Breslin, John. "Extraterritorial control of securities fraud." Thesis, University of Cambridge, 1989. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.333177.

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14

McMurray, John P. (John Patrick) 1958, and Samuel M. 1970 Mundel. "Real estate lease-backed securities." Thesis, Massachusetts Institute of Technology, 1997. http://hdl.handle.net/1721.1/9872.

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Thesis (S.M.)--Massachusetts Institute of Technology, Dept. of Urban Studies and Planning, 1997.<br>"September 1997."<br>Includes bibliographical references (leaves 83-84).<br>by John P. McMurray and Samuel M. Mundel.<br>S.M.

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15

Fioriti, Andrés. "Essays on bidding with securities." Thesis, University of Warwick, 2016. http://wrap.warwick.ac.uk/87910/.

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Chapter 1 partially surveys auctions with contingent contracts, i.e., contracts in which payments are allowed to depend on an ex-post verifiable variable, such as revenues. The review starts with the seminal paper of DeMarzo et al. (2005) and partially departs from Skrzypacz (2013) by analyzing on externalities and risk aversion concerns. A partial ranking of auction revenues for auctions that differ in terms of contract forms, pricing rules and seller commitment are described. Models incorporating adverse selection, moral hazard, competition between auctioneers, externalities and risk aversio

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16

Zhu, Hong. "Reforming the China Securities Regulatory Commission, towards efficient and effective regulation of China's securities markets." Thesis, National Library of Canada = Bibliothèque nationale du Canada, 1996. http://www.collectionscanada.ca/obj/s4/f2/dsk3/ftp04/MQ44080.pdf.

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Zhu, Hong 1968. "Reforming the China Securities Regulatory Commission : towards efficient and effective regulation of China's securities markets." Thesis, McGill University, 1996. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=20146.

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Today, China's securities markets are facing a number of regulatory problems. Many central regulatory problems arise from the fragmented regulatory system, which is not effectively structured to further the goals of securities legislation.<br>The purpose of this thesis is to review, and make recommendations in respect of, the securities regulatory system in China with particular attention to the regulatory role of the China Securities Regulatory Commission (CSRC).<br>After examining the characteristics of China's securities market development and identifying existing problems in the regulatory

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18

Kahle, Kathleen M. "Insider trading and new security issues." Connect to resource, 1996. http://rave.ohiolink.edu/etdc/view.cgi?acc%5Fnum=osu1265127804.

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19

Chokuda, Carias Tererai. "A critique of the Securities Regulation Panel's Ability to Enforce Compliance with the Securities Regulation Code." Master's thesis, University of Cape Town, 2014. http://hdl.handle.net/11427/4589.

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Gu, Ying. "Essays on volatility models using EMM estimation /." Thesis, Connect to this title online; UW restricted, 2006. http://hdl.handle.net/1773/7426.

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21

Tam, Hon Keung. "Estimation risk, information asymmetry and information production in public equity offerings /." View abstract or full-text, 2004. http://library.ust.hk/cgi/db/thesis.pl?FINA%202004%20TAM.

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22

Lam, Wing Tung. "Essays on sorting with financial securities." Thesis, University of British Columbia, 2017. http://hdl.handle.net/2429/63319.

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This dissertation studies one-to-one matching between workers and assets in a market where financial securities are offered. The quality of an asset is publicly known, but a worker's productivity is private information. The asset side first posts contracts, under which the payment is contingent on the realized output. Then the workers direct their search based on the offers. Production exhibits complementarity so that the efficient allocation features positive assortative matching (PAM). I consider a frictionless setting in the first chapter. First, I characterize the sufficient and necessa

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23

Tokley, I. A. "Identification of controllers of company securities /." Title page, contents and abstract only, 1994. http://web4.library.adelaide.edu.au/theses/09LM/09lmt646.pdf.

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24

Quinteros, Martin. "Managing portfolios of products and securities." Thesis, Massachusetts Institute of Technology, 2008. http://hdl.handle.net/1721.1/45952.

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Thesis (S.M.)--Massachusetts Institute of Technology, Sloan School of Management, Operations Research Center, 2008.<br>Includes bibliographical references (leaf 91).<br>In this thesis we study modifications of the classical Mean-Variance Portfolio Optimization model. Our objective is to identify an optimal subset of assets from all available assets to maximize the expected return while incurring the minimum risk. In addition, we test several approaches to measuring the effect of the variance of the portfolio on the optimal asset allocation. We have developed a mixed integer formulation to solv

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25

Li, Zhao. "Securities regulation in the international environment." Thesis, University of Glasgow, 2009. http://theses.gla.ac.uk/691/.

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It is undisputed that the world’s securities markets are becoming increasingly international and increasingly integrated. The internationalization of the world’s securities markets is one of the most significant developments affecting the securities markets of many nations. “How should regulators respond?” is an issue that is hotly contested. The purpose of this thesis is not to introduce a new theory but rather to offer a comprehensive analysis of past and present practice, in order to identify what is effective and what is not. There are three competing approaches to international securities

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26

Chiu, Iris Hse-Yu. "Regulatory convergence in EU securities regulation." Thesis, University of Leicester, 2007. http://hdl.handle.net/2381/31092.

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The aim of the thesis is to map out and critically discuss the very recent phenomenon of "regulatory convergence" in EU securities regulation. "Regulatory convergence" is a new development in EU governance in financial services and markets regulation following the Financial Services Action Plan 1999 and the Lamfalussy Report of 2001. Regulatory convergence has 2 aspects, i.e. "regulatory" and "convergence". The thesis suggests that the "regulatory" aspect may be looked at in 4 parts, namely the source of regulation, the administration of regulation, the supervision of regulation, and the enfor

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27

Pinto, Flávio José Rijo. "A case study on securities evaluation." Master's thesis, Instituto Superior de Economia e Gestão, 2015. http://hdl.handle.net/10400.5/10630.

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Mestrado em Finanças<br>A intenção deste projecto é contribuir com um caso prático, que tenta capturar os assuntos vitais envolvidos na emissão e comercialização de Produtos Estruturados numa situação real. Para tal, o caso vai usar como base um Produto Estruturado, emitido e comercializado pelo Millennium BCP Investment Bank, onde me encontro como estagiário na equipa de produtos derivados no momento de realização deste documento. O Caso esta desenhado para ser usado ao nível de Mestrado em cadeiras de Engenharia Financeira, Opcções Financeiras e Derivados. Vem acompanhado por todos os da

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28

Putyatin, Vladislav Evgenievich. "Mathematical models for derivative securities markets." Thesis, University of Southampton, 1998. https://eprints.soton.ac.uk/50648/.

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The classical Black-Scholes analysis determines a unique, continuous, trading strategy which allows one to hedge a financial option perfectly and leads to a unique price for the option. It assumes, however, that there are no transaction costs involved in implementing this strategy, and the stock market is absolutely liquid. In this work some new results are obtained to accommodate costs of hedging, which occur in practice, and market imperfections into the option pricing framework. In Part One transaction charges are dealt with by means of the mean-variance technique, originally developed by M

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29

Williamu, Ghati. "Critical analysis of the insider trading framework of Tanzania." Thesis, University of the Western Cape, 2015. http://hdl.handle.net/11394/5173.

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Magister Legum - LLM<br>This study is on the insider trading framework of Tanzania. The researcher has made enquiries whether the Tanzania legal framework governing insider trading provides strong enough enforcement mechanisms, including remedies and measures against malpractices found on the securities market to attract investor confidence. Critical analysis is done of the Capital Markets and Securities Act, 79 of 1994 (RE 2002) in conjunction with an investigation into the Capital Markets and Securities Authority (CMSA) a body corporate charged with the duties among others, of protecting the

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30

Dussold, Christopher Kevin. "The nature of IPO lockups : the effects of equity sales by insiders /." free to MU campus, to others for purchase, 2001. http://wwwlib.umi.com/cr/mo/fullcit?p3025616.

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31

Seiz, Ralf. "Convertible securities /." 2006. http://www.gbv.de/dms/zbw/520505794.pdf.

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32

Muys, Jerome C. "Mortgage-backed securities : tax, accounting, and securities law considerations." Thesis, 1987. http://hdl.handle.net/1961/5032.

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33

cheng, wei, and 陳偉正. "Taiwan Securities Firms Development in China－The Case A Securities Firm." Thesis, 2005. http://ndltd.ncl.edu.tw/handle/49778510658662273860.

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碩士<br>大葉大學<br>事業經營研究所<br>93<br>ABSTRACT Taiwan economy had dropped from two thousand year and Taiwan be joined in WTO, businesses must be searched another way. The other way the whole world had a disaster of stock on two thousand one year but Chinese stock market had not to low its price that caused Taiwan investors interested in it. Chinese stock market has more risks and rules , Taiwan uses seriously rules to deal with China because is due to its politics which brings some limits to our businesses . China raises its economy in the few year and Taiwan has higher trade with China now , the s

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34

Hua, Tsui-hua, and 侯翠花. "Securities of Knowledge Management-a Case of Securities Group in Taiwan." Thesis, 2006. http://ndltd.ncl.edu.tw/handle/66380331294336974968.

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碩士<br>國立臺灣科技大學<br>管理研究所<br>95<br>Since Taiwan entered to the WTO , then financial industrial was opened , innovation、knowledge and WWW network technology is getting together , Taiwan financial holding company is established, it is in order to promotion 3C (Capital Growth), (Cost Saving), (Cross Selling) benefit, Macro and individual economics trend information is changing all the time, day by day to affect the financial products of the domestic financial market and returns to investment at any time, form the knowledge phenomenon of global village. This thesis probes into the internet network t

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Chen, Yueh-Yun, and 陳月雲. "Stress management of securities employees in M&A and securities work." Thesis, 2002. http://ndltd.ncl.edu.tw/handle/27643198064651494571.

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碩士<br>元智大學<br>管理研究所<br>91<br>Recently, Stress Management has become an important topic in business manage- ment. The level of job stress in a workplace can directly influence the performance and productivity of a company. This thesis is emphasized in the stress management of securities employees including the stress management of M&A (mergers and acquisitions) employees. This study shows that 68% and 89% of employees suffer from stress in the M&A and securities jobs respectively. The empirical data includes questionnaires from 150 Polaris Securities Company employees. By statis

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Chang, Chang Ling, and 張長令. "A Research on Attention Securities and Disposition Securities from Taiwan OTC Market." Thesis, 2015. http://ndltd.ncl.edu.tw/handle/05875920685994370547.

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碩士<br>長庚大學<br>工商管理學系<br>103<br>This study collected, January 1 2009 to December 31 2013, attention securities from Taiwan OTC market stocks and calculated abnormal returns by event study method. This study classified the attention event to the number of categories,and the number of times to examine whether there is effective monitoring.The next step is figure out the reasons of the disposition securities. The results show that no matter the number of the alert times. There are significant abnormal returns before the event 1 to 5;Although there are still positive abnormal returns 1 to 5 days af

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Yen, Hung-Bin, and 顏鴻彬. "The Definition and the Realm of Securities on Securities and Exchange Act." Thesis, 2015. http://ndltd.ncl.edu.tw/handle/03422448901225286395.

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碩士<br>國立臺灣大學<br>法律學研究所<br>103<br>Regulation of the realm of securities lies on the article 6 of the Taiwan’s Securities and Exchange Act. However, reviewing this article, it is obvious that the realm of securities is extremely small. Factually, this small realm of securities cannot react to the modern financial society, leads to many vacancies of the regulation and lacks enough protections for the investors in the capital market. Therefore, this thesis tends to start from the present regulation on realm of securities and examine the extent and disadvantages of the regulation. Second, by analyz

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Lu, Chu-Ching, and 呂姝靜. "Securitization - Asset Backed Securities." Thesis, 1999. http://ndltd.ncl.edu.tw/handle/6ck5an.

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Kempthorne, David. "Governing International Securities Markets: IOSCO and the Politics of International Securities Market Standards." Thesis, 2013. http://hdl.handle.net/10012/7661.

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What explains the creation and strengthening of international securities market standards through the International Organization of Securities Commissions (IOSCO)? This thesis addresses this question by analyzing the creation and strengthening of four of IOSCO’s international securities market standards between 1991 and 2010 relating to the following issues: the governance of cross-border financial crime, the objectives and principles of domestic securities market regulation, the regulation of credit rating agencies, and the regulation of hedge funds. This thesis argues that the creation and

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Huang, I. Ting, and 黃意婷. "The Impact Factors of Securities Firms Operating Performance after Securities Transaction Income Tax." Thesis, 2013. http://ndltd.ncl.edu.tw/handle/17882279927848891475.

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碩士<br>輔仁大學<br>金融與國際企業學系金融碩士班<br>101<br>Securities Transaction Income Tax has immediately become a hot issue in the stock market since Ministry of Finance proposed to reimpose it on March 2, 2012. The average daily turnover of the stock market decreased sharply, resulting in a direct impact on the capital market and the revenue of securities firms. Operating under increasing pressure, securities firms need to think about how to effectively position and transform themselves and plan for their future development. Based on opinions of a professional manager of a domestic securities firm, literat

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Wang, Chun-Chieh, and 王俊傑. "Performance Valuation on the Branch Offices of Securities Brokerage: Evidence from YUANTA Securities." Thesis, 2008. http://ndltd.ncl.edu.tw/handle/44281369494677254682.

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碩士<br>國立中央大學<br>財務金融學系碩士在職專班<br>96<br>The profitability of financial institutions is derived from the distribution of risk. Therefore, the setup of a brokerage’s branch office should not be guided solely by business and revenue concerns but also by risk distribution and changes to management, which can affect the overall success or failure of the institution. The performance benchmark must account for risk to properly reflect performance. The calculation of RAROC (Risk-Adjusted Return on Capital) accounts for risk and can show the relationship between risk and capital return. In this paper, we

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LO, YA-CHEN, and 羅雅珍. "Securities Representatives’ Attitudes toward Insurance Selling-The Case of the P Securities Corporation." Thesis, 2018. http://ndltd.ncl.edu.tw/handle/f85a7g.

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碩士<br>逢甲大學<br>金融碩士在職學位學程<br>106<br>Due to fierce competition in banking and securities industry, banks and securities firms begin to sell insurance products. This research intends to understand the current situation of securities firms that sell insurance and the attitudes of sales representatives toward selling insurance selling from three dimensions- recognition when selling insurance, education and training assistance received when selling insurance, and motive and performance when selling insurance. This research concludes as follows. 1. Sales representatives with different revenue have di

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"Seasoned equity offering in China." 2003. http://library.cuhk.edu.hk/record=b5891695.

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Hu Jun.<br>Thesis (M.Phil.)--Chinese University of Hong Kong, 2003.<br>Includes bibliographical references (leaves 52-55).<br>Abstracts in English and Chinese ; appendix also in Chinese.<br>Chapter 1 --- Introduction --- p.1<br>Chapter 2 --- Background --- p.2<br>Chapter 2.1 --- The Development of China Capital Markets --- p.2<br>Chapter 2.2 --- Comparison of Different Methods of Additional Financing --- p.4<br>Chapter 2.3 --- Seasoned Equity Offering (SEO) in China --- p.6<br>Chapter 3 --- Literature Review --- p.8<br>Chapter 3.1 --- Literature on Price Effect of New Equity Offering Ann

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Yu, Yu-Chin, and 游育進. "The Study on Securities Consumers’ Acceptability for Selling Life Products through The Securities Firms." Thesis, 2004. http://ndltd.ncl.edu.tw/handle/q5x2e5.

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碩士<br>銘傳大學<br>經濟學系碩士在職專班<br>92<br>Developing a new distribution channel is very important to the Taiwan’s life insurance companies. This study examines securities consumers’ acceptability for selling life products through the securities firms. The consumers of six securities firms in Taipei are selected for the subjects of this study. This study provides three major findings. The first finding is that a number of demographic variables and what product significantly influence the extent of life products’ acceptability. The second is that a number of demographic variables significantly influ

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chung, pan huai, and 潘懷忠. "A Study of Securities Industry’s Crisis Prevention Mechanism—An Example of A Securities Company." Thesis, 2004. http://ndltd.ncl.edu.tw/handle/81092547449621115815.

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碩士<br>大葉大學<br>人力資源暨公共關係學系碩士在職專班<br>95<br>From the beginning of 1980s, the subject dealing with crisis and the study related to crisis has gradually attracted attention. The majority of studies were to aim at the crisis processing during the occurrence and at the rehabilitation after crisis; however, the crisis of prevention and warning were few to focus on. This study is not only trying to help the Securities Industry to realise their weakness and potential threat, but also to explore the possible existing risk and prevention of crisis in domestic Securities Industry. The main purpose of this

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Chen, Wan-ting, and 陳菀婷. "A Study of Organization Resistance for Securities Industry~ A Case Study of EMT Securities." Thesis, 2015. http://ndltd.ncl.edu.tw/handle/v4e7c3.

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碩士<br>國立臺灣科技大學<br>資訊管理系<br>103<br>In 2012, the trading volume in securities markets significantly declined due to changes in the global financial environment and the capital gains tax on securities. The prolonged drought in trading volume threatens the survival of securities firms. This case study describes the significant decline in the revenue of EMT Securities due to the impact of the capital gains tax on securities. It also describes the company’s hope for surviving the financial crisis, generating more revenue, and making a profit through reforming securities trading patterns. The story i

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Chen, Shue-Chun, and 陳旭春. "The Limitation in the Penalties of Securities Manipulation-Focusing on the Securities Trading Type." Thesis, 2014. http://ndltd.ncl.edu.tw/handle/5z9hgq.

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碩士<br>國立中興大學<br>法律學系碩士在職專班<br>102<br>To use the legal sanctions against securities manipulation is the common issue in capitalist societies. The function of the legislature is to draw the line between the legal and illegal trading in securities market at general level. The functions of the executive are to find out illegal securities manipulation timely and quickly and establish standards of value at concrete level. Based on the cooperative system between the legislature and the executive, it is the best way to prevent illegal securities manipulation and to secure the predictability of the ant

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LAI, YI-HSIN, and 賴意心. "Strategic Business Model for Securities Counter on banking -the Case of Taiwanese Securities Corporation." Thesis, 2015. http://ndltd.ncl.edu.tw/handle/hj2f8y.

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碩士<br>國立臺灣師範大學<br>高階經理人企業管理碩士在職專班(EMBA)<br>103<br>The need for financial management is increasing in Taiwan due to our people’s preference for savings and the rapid accumulation of the assets. The investors’ investment direction has transformed from preference investment to managing financial investment. Based on how ”Porter five forces analysis” is adopted in the competitiveness of Taiwanese Securities Business, the threats brought by the potential competitors, the possibility of the substitute invention and the bargaining power equipped with the suppliers and customers. T, then how “SWOT Ana

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Chun-Ying, Liu, and 劉春櫻. "Data mining in the securities industry customer relationship management model - a domestic securities company." Thesis, 2013. http://ndltd.ncl.edu.tw/handle/31445308442237907754.

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碩士<br>輔仁大學<br>企業管理學系管理學碩士在職專班<br>101<br>The purpose of this research is to use three commonly adopted data mining techniques, namely discriminant analysis, logistic regression, and artificial neural networks in building classification models aiming to filter out the significant variables who tend to be significant or profitable traders of a securities company and hence can provide useful information for better customer relationship management. In order to verify the feasibility of the proposed idea, one dataset from a securities company in Taipei was adopted in building classification models.

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Wei, Chu-yun, and 魏楚芸. "Market States and Idiosyncratic Risk：Comparing Securities Subsidiaries with Non-Financial Holding Securities in Taiwan." Thesis, 2009. http://ndltd.ncl.edu.tw/handle/25163530093756982936.

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Abstract:

碩士<br>義守大學<br>管理學院碩士班<br>97<br>We mainly examine the idiosyncratic risk between the securities subsidiaries and the non-financial holding securities in Taiwan under different market states. We distinguish three market states by citing Pagan and Sossounov (2003) and modify three models with GRACH effect and three kinds of measurement to estimate the idiosyncratic risk. The findings are as follows: The idiosyncratic risk of the securities subsidiaries are all lower than the non-financial holding securities, and not higher than the non-financial holding securities after we distinguish three marke

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