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Dissertations / Theses on the topic 'Stockbrokers'
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1
Watson, Todd Lincoln. "Turnabout : A Screenplay." Thesis, University of North Texas, 1994. https://digital.library.unt.edu/ark:/67531/metadc278696/.
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Turnabout, a feature-length screenplay with an accompanying critical essay, is the story of Michael Houston, a successful stockbroker in his late twenties whose unlikely romantic rendezvous with a bohemian art dealer leads him to realize that finding love often begins with a soul-searching journey into oneself.
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Baalen, Sander Bastiaan van. "Zorgplichten in de effectenhandel /." Deventer : Kluwer, 2006. http://www.gbv.de/dms/spk/sbb/recht/toc/516548808.pdf.
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Martineau, Jessica. "Personality Characteristics of Stockbrokers: Implications for Job Success, Stress, and Burnout." NSUWorks, 2008. http://nsuworks.nova.edu/cps_stuetd/52.
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Research has illuminated high levels of burnout among stockbrokers and has identified significant correlations between elevated burnout levels and decreased work productivity, mental health, and quality of life (Cass, 2000; Millward, 2001). Though correlations between personality and job-related outcomes have been demonstrated with various professions, research on stockbrokers is noticeably lacking. One of the aims of the present study was to gain a better understanding of the individuals in this profession. Additionally, the study examined the income, job burnout, and job satisfaction levels of South Florida stockbrokers and the relationships between these job-related outcomes and personality characteristics.
Forty male stockbrokers between the ages of 22 and 34 participated in the study and completed the California Psychological Inventory, Maslach Burnout Inventory, Abridged Job Descriptive Index, and a demographic questionnaire. Hypothesis testing utilized seven personality subscales: Dominance, Capacity for Status, Social Presence, Sociability, Self-control, Responsibility and Femininity/Masculinity. Results revealed partial support for study hypotheses: stockbrokers differed significantly from business executives on Responsibility and Self-control. Income was significantly correlated with Dominance, Social Presence, Sociability, Self-control, and Femininity/Masculinity and modestly correlated with Responsibility. Job satisfaction was modestly correlated with Dominance and Social Presence. However, burnout was not significantly correlated with any of the personality subscales.
Stepwise multiple regression analysis utilizing the seven personality subscales to predict income revealed the best-fitting model to include Self-control and Dominance. The model containing Dominance, Capacity for Status, and Sociability was significantly predictive of satisfaction. However, no significant model emerged to predict burnout. When examining the interrelationships between job-related outcomes, satisfaction was positively correlated with income and negatively correlated with burnout; however, income and burnout were not significantly correlated.
This study offers partial support for Cass (2000) and Millward (2001): high levels of burnout were found among the stockbrokers, though no significant relationship was found between Depersonalization and income. Additionally, the current study found Personal Accomplishment to be positively correlated with income. Like previous research that has identified self-esteem as important to job performance and offsetting negative work environments, this study found that more confident stockbrokers earned higher incomes and endorsed higher satisfaction levels.
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David, Elaine B. "The effects of organizational response on deprofessionalization : the case of stockbrokers 1975-1990 /." Diss., This resource online, 1995. http://scholar.lib.vt.edu/theses/available/etd-06062008-160719/.
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Qasim, Amer. "The use of the internet as an investor relations tool : the case of Jordan." Thesis, University of Aberdeen, 2010. http://digitool.abdn.ac.uk:80/webclient/DeliveryManager?pid=114451.
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This research extends our understanding of disclosure on the internet by considering a different research setting, namely Jordon. Two main objectives were addressed in this thesis; (1) to explore online status of listed companies and the extent to which websites are utilized to disclose IR-related information, and (2) to investigate factors influencing companies to have websites and to disclose IR information. The first objective involved a survey analysis in 2007. This showed that out of the 187 companies included in the survey, only 105 had active websites. A web-based scoring sheet was used to assess the level to which websites are utilized as an investor relations tool. Results revealed that websites are generally used to disseminate historical financial information that usually appears in paper based annual reports. The second objective of the study was approached through a mixed method paradigm, which employed quantitative and qualitative methods. The quantitative analysis showed that only two variables were found significant in predicting online presence; size and sector. On the other hand, the extent of web-based IR disclosure is positively significant with size, governmental ownership, institutional ownership, number of shareholders, and Banks. In addition it was found that this usage is significant and negative with company age. Semi-structured interviews with companies and market regulators were also carried out to investigate motivations and influences of online reporting. Interviewees explained that the decision to have an online presence was motivated by a desire to enhance company’s image and reputation, although the decision itself was often triggered by the decision to enter new, non-Jordanian markets. Moreover, the existence of international activities with other companies as well as merging with other international companies affected the way a company uses its website or how it updates and restructures the website’s components. In addition, management’s flexibility in facilitating the process of adopting new technologies was also pointed out by some interviewees as a factor affecting the level to which a company uses its website in general as well as for its IR activities in particular.
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Choi, Nicole Yunjeong. "Institutional investors and financial statement analysis." Pullman, Wash. : Washington State University, 2009. http://www.dissertations.wsu.edu/Dissertations/Spring2009/N_Choi_041709.pdf.
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Gilles, Daniel. "Asynchronous simulations of a limit order book." Thesis, University of Manchester, 2006. https://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.665502.
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Serrano-Padial, Ricardo. "Essays on strategic incentives for information revelation." Connect to a 24 p. preview or request complete full text in PDF format. Access restricted to UC campuses, 2007. http://wwwlib.umi.com/cr/ucsd/fullcit?p3268350.
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Thesis (Ph. D.)--University of California, San Diego, 2007.Title from first page of PDF file (viewed August 7, 2007). Available via ProQuest Digital Dissertations. Vita. Includes bibliographical references (p. 86-90).
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Wong, Jin Boon. "The impact of market microstructure on the operation and regulation of international stock exchange." Thesis, The University of Sydney, 2010. https://hdl.handle.net/2123/28960.
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This dissertation examines several market microstructure issues of potential interest to
regulators and operators of stock exchanges internationally. This research provides
empirical evidence on how changes to the market microstructure of securities affect
market quality, the importance of information disclosures to market participants and the
relationship between cross-border exchanges that offer dual-listed derivatives. Each
chapter addresses a research question of practical interest to financial regulators and stock
exchange officials and provides empirical evidence to assist in the formulation of
business strategies and regulatory reforms.
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Abdullahi, Noruddeen Abba. "The operations and development of the Nigerian stock market : an empirical study of the perceptions and understandings of the private investors and stockbrokers." Thesis, University of Exeter, 1993. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.357669.
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Lotze, Sascha. "US-amerikanisches Kapitalmarktrecht und Internet : aufsichts- und haftungsrechtliche Fragen des Internet-Einsatzes bei Wertpapieremissionen und im Wertpapierhandel /." Frankfurt am Main [u.a.] : Lang, 2002. http://www.gbv.de/dms/spk/sbb/recht/toc/348869630.pdf.
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Roubalík, Vlastimil. "Možnosti investování českých domácností do cenných papírů." Master's thesis, Vysoká škola ekonomická v Praze, 2009. http://www.nusl.cz/ntk/nusl-15608.
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The work examines the investment instruments that are in their offer leading stockbrokers in the Czech Republic. Analyzes in detail the stock markets in the Czech republic, the USA and Germany. Part of the work is also addressing the issue of fees and method of establishing a merchant account at stockbroker.
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Chiu, Tsai-feng, and 邱彩鳳. "THE STUDY ON RELATIONSHIP QUALITY、SATISFACTION AND LOYALTY-STOCKBROKERS IN CHIA-YI CITY." Thesis, 2004. http://ndltd.ncl.edu.tw/handle/26344803982441143573.
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碩士南華大學
管理科學研究所
92
Customers are the most important resources of businesses. To maintain a long-term relationship with customers and promote their satisfaction and loyalty is closely linked to the profits and subsistence of them. The study takes stockbrokers’ customers as the target of examining the relevance among relationship quality, satisfaction and loyalty. As a result, the study reaches three goals as following: 1.The main aspects of relationship quality, satisfaction and loyalty. 2.The relationship quality influence the satisfaction. 3.The satisfaction influence the loyalty. 4.The relationship quality influence the loyalty. The major results of this study are: 1.Relationship quality includes three aspects: trust, satisfaction and promise affecting with each other. The satisfaction as a whole includes seven aspects. The service manner of stockbroker's employee is the most satisfactory aspect to the customers. Secondly is the simplicity and convenience of flow chart. The most unsatisfactory aspect is the breakdown of machine such as telephone, computer and so on when customers are making order. The four aspects of loyalty include the willing to maintain the relationship with each other and recommend to his friends and relatives. The higher the fee is, the lower the willing to maintain relationship will be. 2.Relationship quality will affect customer's satisfaction directly. 3.Customer’s satisfaction will affect their loyalty directly. 4.Relationship quality will not affect customer's loyalty directly, but indirectly.
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Huang, Hsiao-Yung, and 黃孝永. "A Study on the Relationship between Job Values and Job Satisfaction of Stockbrokers." Thesis, 2005. http://ndltd.ncl.edu.tw/handle/09192436466399314116.
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碩士龍華科技大學
商學與管理研究所碩士班
93
In this research, researcher set out to study about the stockbroker who works at Y securities. Three objectives were set to serve as guidelines for this research: a. To investigate the stockbroker’s job values and job satisfaction b. To study the variable, the background of each individual stockbroker and its influence on job values and job satisfaction. c. To explore the relations among job values and job satisfaction. Major research methods used in this research are content analysis and survey. For the content analysis, information are collected and the analysis forms the framework of this research. For the survey, stockbrokers from Y securities were asked to fill out a questionnaire. The data was then sorted out and analyzed. Finally, the results are discussed along with some suggestions being made for further study. In this research, several findings have been concluded. They are as follows: a. Those stockbrokers devote much attention to the environment-value in their work and generally satisfied with their work. b. Gender and age have an impact on the stockbroker’s job values, whereas the degree of satisfaction toward work is greatly influenced by age and seniority. c. Both job values and job satisfaction are related with one another.
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Yang, Yu-Chiao, and 楊雨樵. "Performance Evaluation of Online Stockbrokers –An Approach Based on the Two-Stage DEA." Thesis, 2007. http://ndltd.ncl.edu.tw/handle/63738971052350633786.
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碩士中興大學
電子商務研究所
95
Online business has been developing for 30 years, throughout the evolution of the Internet. The Internet is not only changing the business models of companies in different industries around the world, but it is also changing shopping habits. This kind of innovative change has also had a huge effect on Taiwan’s financial institutions. In 1997, Da-Shin Securities was the first company to provide online trading in Taiwan. After that, more and more traditional stockbrokers devoted themselves to developing online business and more and more investors started placing their orders online. The concept of the DuPont model and the method of data envelopment analysis are used in this research. According to the concept of the DuPont model, the operation process of online stockbrokers is disaggregated into operating efficiency and operating effectiveness. A two-stage Data Envelopment Analysis is used to find out the relative operating efficiency score and operating effectiveness score of 28 online stockbrokers in Taiwan from 2003 to 2005. The results show that there are seven companies that are CCR-efficient in their operating efficiency; five companies that are CCR-efficient in their operating effectiveness and only two companies that are CCR-efficient both in operating efficiency and operating effectiveness. Finally, the author found that there is no apparent linear correlation between operating efficiency and effectiveness.
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Huang, Wei-Song, and 黃偉松. "A Relationship Betwween Service Quality、Customer Satisfaction and Customer Loyalty-using Stockbrokers as an example." Thesis, 2001. http://ndltd.ncl.edu.tw/handle/17368901763376452631.
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碩士淡江大學
管理科學學系
89
Follow with the development of national economy, service sector has become the main industrial structure in Taiwan. Service quality is one of the most important courses of service sector. In 1990’s, the government deregulated the financial market and that changed the situation occupied by few financial institutes. In such competitive situation, to improve service quality, increase customer satisfaction and customer loyalty will of the most important points of financial institutes in the future. This research takes stockbrokers as an example to discuss the relationship between service quality, customer satisfaction and customer loyalty. We hope the findings of this research can do some help to them. Some important findings of this study are： 1.There is significantly difference between stockbroker customer expected service and perceived service. 2.This research sets up six dimensions of service quality about stockbrokers. These dimensions include：(1)service attitude and trust, (2)empathy, (3)effectiveness, (4)correctness, (5)service facility, and (6)corporate image. 3.In demography, education and personal income have significantly difference in different service quality segmentation. 4.Finally, overall service quality has significant influence on customer satisfaction and customer satisfaction has significant influence on customer loy
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Lee, Chin-Ming, and 李進明. "A Study of The Brand Equity , Service Quality ,Customer Satisfaction and Customer Loyalty-Stockbrokers in Taichung Zone." Thesis, 2014. http://ndltd.ncl.edu.tw/handle/u24964.
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碩士僑光科技大學
企業管理研究所
102
Due to financial and economical globalization and the introduction of the Internet,customers can better understand and obtain relevant financial information. Nowadays,investment and speculation funds can be easily and rapidly transferred. These two conditions urge the securities industry to pay more attention to customer needs. Securities business customers are the most important strategic resources. Profitability and even the very survival of securities dealers depends heavily on factors such as brand equity, service quality, customer satisfaction and customer loyalty , as well as the management and maintenance of long-term relations. In this study,we will analyze data collected from the central region of the parent 's customer in Taiwan, and propose possible strategies to enhance customer satisfaction and loyalty, given the current context of the Expansion of cross-strait economic relations and the deteriorating price competition in the industry. The aim of this research is to examine the relationships among the securities industry’s brand equity, service quality, customer satisfaction and customer voluntary performance.
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Shah, Nabeel M. "Trading strategies for autonomous agents in financial markets." Thesis, 2013. http://handle.uws.edu.au:8081/1959.7/529404.
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Electronic trading is relatively new to the long history of financial markets. The typical traditional way of trading in a financial market was that traders gathered in the market floor and exchanged their financial assets in a manner of open outcry. In the past twenty years or so, financial markets have been reshaped dramatically due to the use of electronic trading. Innovations in computing and Internet eliminate the need for direct person-to-person contact via trading floors and make possible global electronic order routing, broad dissemination of trade information, and e effective market operations. Electronic trading systems for financial trading allow to match buy and sell orders automatically without human intervention. Such a system lowers trading costs, bypasses human intermediaries, such as dealers, and also offers faster trade execution. The automation of market operations makes possible for traders to trade automatically. The advances of agent technology have resulted in the emergence of agent-based systems that automate business activities. Ambitious attempts have been made by academia and a number of companies to create automated programs, known as trading agents, which are capable of autonomously trading on behalf of human traders in financial markets. It has been widely recognised that the automation of traders' decision making creates more challenges than machinizing market making. The most crucial decision-making for either a human trader or an autonomous trading agent is when, how much and what to buy or sell an asset in a financial market, known as trading strategies. This thesis aimed to shade a light on the research of autonomous trading agents by introducing an approach of trading strategy de- sign and analysis. To mimic the way of decision-making by human traders, we investigated a number of financial technical indicators, including Simple Moving Average, Exponential Moving Average, Moving Average Convergence and Divergence, Relative Strength Index and Stochastic Oscillator, that have been widely used by human traders for market analysis and used them as the major signals for design of bidding and investment strategies. By utilising our Jackaroo Trading Agent Platform (JTAP), we first analysed the statistic properties of each technical indicator using the real data of stock exchange taking from the Australian Stock Exchange and then implemented a range of trading strategies based on the technical indicators we have investigated. The trading strategies we designed can be divided into two categories: bidding strategies and investment strategies. A bid- ding strategy deals with when, how many and how much to buy or sell a financial product, whereas, an investment strategy decides how much fund is allocated to each financial product. A simple bidding strategy can be easily designed based on either trend based indicators or momentum based indicators, and an investment strategy can be implemented based on the enforcement learning with returns as re- wards. However, our experiments showed that a trading strategy can perform much better if we combine a number of technical indicators and market returns. This is because such a combined signal can be more stable under volatile market conditions and more responsive to market returns. Each trading strategy we implemented has been fully tested against the real market data and simulated market data.
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Chang, Yu-Fen, and 張毓芬. "Nonadditive Hierarchical Decision Analysis for Evaluating the Service Quality of Internet Stockbroker." Thesis, 2007. http://ndltd.ncl.edu.tw/handle/53422425995230519545.
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碩士中原大學
企業管理研究所
95
Taiwan Stock Exchange Corporations in charge of checking and approving online stock trading formally in 1997. Online stock trading has already pursued for about ten years, and the turnover of online stock trading for the turnover of overall market increase year by year. From statement above, we can know the market of online stock trading will draw attention of every internet stockbroker. Under the environment with keen competition, the stockbroker in order to increase market share, and they should not promote the branches and price cut, but must put emphasis on the improvement of service quality. If stockbrokers raise up the service quality, and they could promote the customer's confidence and satisfaction. How to improve service quality of websites is the topic that the stockbrokers who pay more and more attention. It necessitates talking about the applicative aspect and criterion for service quality on internet stockbroker. But the assessment of service quality on internet stockbrokers, there always has interaction between aspect and criterion. Therefore, this study adopts the fuzzy integral to calculate the performance of aspect and criterion on internet stockbroker and analyzes key aspect and criterion with fuzzy measure. The objective of this study aims at analyzing the key aspect and criterion of service quality for customers who use online stock trading. In order to offer the basis of improving website design and rising up the service quality of websites. In empirical verification, this study reveals that the customer pays more attention to the key aspect of service quality is system availability, efficiency and security/ privacy and less attention is personalization. The key criterions of every aspect in stockbrokers are different. This shows that each group has its valuable criterion. In satisfaction of service quality wholly, Yuanta group seems to be unsatisfied with whole service quality of website offered and Jih Sun group seems to be satisfied. This study also uses kendall’ tau rank correlation to analyze the rank between the weight and performance for both aspect and criterion that has correlated. Finally, this study found that the stockbrokers did not think about the aspect and criterion that customers valued. So, there has a lot of space which could be improved in the satisfaction of every aspect’s.
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Lee, Chen-Yen, and 李承彥. "The Development of the Customer Satisfaction Model and Customer Clustering for the Internet Stockbroker." Thesis, 2003. http://ndltd.ncl.edu.tw/handle/13299807293426711737.
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碩士南華大學
資訊管理學研究所
91
The customer satisfaction have regarded as a tool in measuring the businesses service gap. The internet stockbrokers are rising industries so that there are few literatures of customer satisfaction of internet stockbroker. Lack of knowledge about customers preference and attribute lead internet stockbroker difficult in decision-making. Data Mining is a good method that can help the industry solution in those problems. The purpose of the study is to build a customer satisfaction model of internet stockbroker from a perspective of the online stock trading process. The internet stockbroker can improve its service quality by using this model. The factor analysis of multivariate data analysis is used to extract the customer satisfaction into various dimensions. The clustering analysis (SOM + K-means) is used to divide the online stock trading customers by the trading attributes of the customers. The study is surveyed by questionnaire, and finally 492 questionnaires are obtained.The result shows that the customer satisfaction model divides into four factors,including personal service quality, trading system quality, trading stable and safety, and benefits.The customers divide into three group, i.e. low potential, middle potential, and important customers.
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Tsui, Shih-Hsien, and 崔世仙. "The study of performance differences among strategic group of online trading stockbroker in Taiwan." Thesis, 2000. http://ndltd.ncl.edu.tw/handle/54884090437237615757.
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碩士國立臺北大學
企業管理學系
89
This study aims to use the concept of strategic groups to investigate the strategic patterns and performance differences of online trading stockbrokers in Taiwan.The purpose of this study are as follows: 1.Does any strategic groups exist within online trading stockbrokers in Taiwan? 2.Is there any sighificant difference of performance among the strategic groups. This study adopts scope commitments and resource commitments as dimensions of strategy.And it adopts 42 strategic variables to measure the companys. By means of direct interviews and mail surveys. This study gets 45 effective samples from 74 population of online trading stockbrokers in Taiwan. In this study , the statistical methods including cluster analysis, discriminant analysis,K-W test,and M-W U test are used to process data. The chief results of the research are as follows: 1.Online trading stockbrokers in Taiwan can be divided to four strategic groups based on the difference of strategic patterns,including active innovation group, neutral conservation group, professional concentration group and passive defense group. 2.There is significant difference of performance among four strategic groups.
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Tang, Jen-tung, and 湯仁棟. "The Effects of Personality Traits and Executive's Leadership Styles on the Stockbroker Performance : An Example of a Security Firm." Thesis, 2009. http://ndltd.ncl.edu.tw/handle/69263487834887585376.
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碩士世新大學
財務金融學研究所(含碩專班)
97
The primary purpose of this study is to explore how the work performance of stockbroker affected by personality traits and executive’s leadership style. This will also examine whether the relationship between personality traits and work performance is affected by executive’s leadership style. Finally the difference in leadership score between how stockbrokers rate their executive and their executive’s self evaluation named the difference of leadership feedback, which supplements and supports the effect of executive’s leadership style above. “F” security firm was selected for this study, which had 59 subsidiary companies (2 companies omitted as they service institutional clients, a different client base than others ) and 975 stockbrokers. 975 of questionnaires were gathered, and there are 748 valid questionnaires in the pool (effective rate of 76.71％). In addition, 59 questionnaires were filled in by executives. The evidence was founded in this study indicated that: 1.The work performance of individual stockbroker is significant difference caused by different personality traits. The work performance includes work quality, efficiency and effectiveness. Work quality was affected positively by “Big Five”, except neuroticism, which has negative affection. Meanwhile the efficiency and effectiveness was affected positively by “Openness to Experience”, “Conscientiousness” and “Agreeableness”. 2.The work performance of individual stockbroker is significant difference caused by the executive’s leadership style. Their work quality is comparative good under executive’s “Sell Leadership” (high transformational leadership and high transactional leadership). And their efficiency and effectiveness is better under executive’s “High Transactional Leadership” (low transformational leadership and high transactional leadership), yet it can be worst at “Permissive Leadership” (low transformational leadership and low transactional leadership) circumstance. 3.The relationship between personality traits and work performance is significant difference caused by the form of executive’s leadership style and leadership feedback. First, the work quality in whether “Big Five” or personality clusters, high scores of personality are better than low ones, except Neuroticism. And stockbrokers who identify with “Sell Leadership” have better work qualities. High Conscientiousness stockbroker is an exceptional but can be equivalent to “Sell Leadership” if under “High Transformational Leadership” (high transformational leadership and high transactional leadership). The leadership feedback supports above descriptions and suggests enhancing executive’s transformational leadership for high Agreeableness stockbroker and transactional leadership for high Neuroticism stockbroker. Secondly, the efficiency and effectiveness in Openness to Experience, Conscientiousness and Agreeableness or personality clusters, the high scores of personality is better than low ones. And stockbrokers who identify with “High Transactional Leadership” have better efficiency and effectiveness. The leadership feedback supports above descriptions. The exception is high Agreeableness stockbrokers, their executives must enhance transformational leadership rather than transactional leadership.
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Robek, Robert. "Pravidla jednání obchodníka s cennými papíry ve vztahu k zákazníkům." Master's thesis, 2011. http://www.nusl.cz/ntk/nusl-299941.
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1 Regulations of stockbroker's acting towards his clients Abstract The purpose of my thesis is to define and analyze a scope of regulation of securities broker's acting toward his clients. These rules are set up by European law and regulation, which was brought by three legal documents. First is Directive no. 2004/39/EC on markets in financial instrument, also called MiFID (Markets in Financial Instrument Directive). Second rule is implementing regulation of European Commission no. 1287/2006. Third rule is implementing directive of Commission no. 2006/73/EC. The first rule crates so called LEVEL 1 and the last two rules create LEVEL 2. Legal rules in Czech Republic are set up by reception of above mentioned European rules into the Czech act no. 256/2004 Sb. about business activities on capital markets and implementing publication no. 237/2008 Sb. These all legal documents bring wide range of regulations and inside of this regulation; the significant group is created by rules about protection of the clients, which are the subject of my analyses in the thesis. The thesis is composed of introduction chapter and seven specific chapters. In introduction are presented objectives and goals and structure of the thesis. In this chapter is defined the basic terminology and sources of the law. First chapter is focused...