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A short course of lectures
«Chinese securities companies»





Third-Party Wealth Management Companies Differentiated Products and Services The U.S. NASDAQ Market: Assorted Sponsor System Profit Growth Points Brought about by Innovative BusinessWealth Management Talent Environment AnalysisLow-Profile Reverse Takeover Deal-Making Criteria for an Ideal Future Management Model for Chinese Securities FirmsBusiness Model AOperations and Oversight Based on Separation of Activities and the Financial Holding ModelComparison of the Sponsor Systems of Various CountriesAnalysis of Traditional BusinessDifferentiation of Business Regions The Promoters of Change in the Chinese Financial SystemWell-Rounded Organizational Structure for Risk Management Varying Service Capabilities and Overall Need for Improvement THEORETICAL ANALYSIS OF PROFITABILITY MODELSGeneral Analysis of Business Structures of Investment Banks in the United StatesRULE BREAKING SPONSOR—CASE STUDIESFunctions of information Marketplaces and Securities FirmsANALYSIS OF PUNISHMENTS IMPOSED BY THE CSRC ON RULE-BREACHING SPONSORSPrimary Crossover (1987-1994) INSTITUTIONAL CHANGE AND FUNCTIONAL EVOLUTION FOR CHINESE SECURITIES FIRMS—AN ANALYSIS WITH PARTICULAR INTEREST IN THE FUNCTION OF AN UNDERWRITER'S GOODWILLThe Malaysia MESDAQ Market: Relay Sponsor System Regulators Should Also Create Conditions for the Growth of Private Securities Firms Investment Banking Business THEORETICAL ANALYSIS OF FINANCIAL FUNCTIONALITY Interdisciplinary TalentExpediting Financial Legislation and Improving the Legal Environment for Securities Companies Risk Management of Overseas Securities CompaniesMessages in Terms of RegulationMissteps of Chinese Securities Firms and Lessons LearnedWhat China Can Learn From Internal Control of Investment Banks in Mature International MarketsThe Structure of the Board of Directors Organization and Management in Investment Banks: A Global PerspectiveAmbiguous Rights and Responsibilities among the Sponsor, the Issuer, the Regulator, and Other Intermediary InstitutionsConsolidating Securities Underwriting Services Product Une Analysis Independent Securities Firms Must Find Their Competitive Advantage over Financial Holding Company-Controlled Securities Firms by Differentiation U.S. Investment Bank Business Structure Case Study: Morgan StanleyFinancial Market Service ProvidersWealth Management CapabilitiesFuture Development and Reform Focuses of Chinese Securities Companies—General PrincipleGrowth Traits of Securities Companies Raise the Capital Scale of Securities Companies Analysis of Risk Management in Chinese Securities CompaniesMessages in Terms of Business StructureFamily Business and Partnership A Transition from Channels to ServicesEquity Structure The Investment Bank Regulation System in the United StatesModern Financial Holding Companies The Five Factors of Internal ControlHistory Risk Management Signs of a Transition in the Profitability ModelCITIC Securities—Equal Importance to Tradition and Innovation, Firm Foothold in China, and Aggressive Exploration OverseasRestructuring Existing Brokerage Services and Placing Broker Services at the Core Unreasonable Sources of Income for SponsorsThe Meaning of Strategic Risk ManagementMore Severe Punishment Needed for Breaching SponsorsInformation Plays an Essential Role in Business Competition Investment Bank Regulation System in the United KingdomManagement of Risks Associated with Securities Margin TradingSetting Internal Control Objectives in a Dynamic Way for Different Periods of Time The U.K. Alternative Investment Market (AIM): Lifelong Sponsor System MANAGEMENT OF RISKS ASSOCIATED WITH INNOVATIVE BUSINESS OF SECURITIES COMPANIESPromoted the Creation of Diverse Social Assets and Expanded Citizens' Investment Options Hypothesis and SamplingBasic Functions of Securities Companies in the Financial System Multilevel, Diversified Independent Securities FirmsManagement of Risks Associated with Asset Management Business of Securities CompaniesCreate an International VisionAcknowledgmentsPrefaceRecommending Possible Solutions U.S. Investment Bank Business Structure Case Study: Goldman SachsStrengthening Regulation on the Securities Market, Especially the OTC Market Normalized Development Phase, 2005 to 2011What China Can Learn from the Organizational Structures of Investment Banks in Mature International MarketsChannelizedProprietary Business—Actively Taking Part in Market Transactions External Factors Accelerate the Concentration of Capital for Business Growth and ExpansionClassified Oversight and the Impact Organization and Management in Investment Banks: Continental Europe, the United States, and Japan Core Points of ViewAbout the AuthorFinancial Holding Companies Are the Best Choice for Large Chinese Investment Banks, Subject to the Constraints of the Current Financial SystemANALYSIS OF THE INTERNAL CONTROL OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSExploring New Business Models in Asset Management Services Diversified Business Categorization Requires the Leadership of the Company to Play a Leading Role in a Series of Human Resources Decisions The Merrill Lynch Model Board of Supervisors and the Management Analysis of Problems in Risk Management of U.S. Investment Banks during the Financial CrisisThe Meaning of Profitability Model for a Securities CompanyThe Case of Suzhou Hengjiu Photo-ElectronicCOMPARATIVE ADVANTAGES AND DISADVANTAGES OF WEALTH MANAGEMENT TALENT IN THE SECURITIES INDUSTRYThe Effect of an Enterprise's Scale on Its Profitability Structure Identifying Potential Problems INTRINSIC FLAW OF THE SPONSOR SYSTEM: IMBALANCE BETWEEN PROFIT AND RISKStock Index Futures Emphasize Corporate Culture, Avoid "Lone Wolf" Approaches PROFIT METHODS OF THE MAIN BUSINESS OF SECURITIES COMPANIESHow the Function of Goodwill Is Shaped Internal Logic for Organizational and Management Evolution in Chinese Securities FirmsSupervision Treasury Bond Incident Risk Management of Investment BanksDeterminants of Organization and Management Management of Risks Associated with the Direct Investment Business of Securities CompaniesManagement of Risks Associated with Proprietary Business of Securities CompaniesRegulators Should Establish a Sound Regulatory Policy Framework for Private Securities Firms Governance Structures of Investment Banks in Mature International MarketsInternal Incentives for Market Evolution of China's Financial StructureEvolutionary History and Structural Patterns of Investment Banks in the United KingdomProfit Structure of the Securities Company The Impairment of Insider Trading on Market Accountability and Investor Interests Major Sources of Risks in Investment Banking BusinessSOME PRIORITIES OF FUTURE REFORM IN CHINESE SECURITIES FIRMSDIRECTION FOR SPONSOR SYSTEM REFORMOverall Profitability StructureMajor Sources of Risks in the Brokerage Business Information Management Development Trend of Human Resource Management in Securities Companies in the FutureAnalysis on Structure and Competitiveness of Talent in Chinese Securities CompaniesStrengthening Regulation on Derivatives Institutional ChangeRisk-Management Architecture Promoting Restructuring and M&A Services Ambiguous Rights and Responsibilities between the Sponsor and the Regulator Categorization of International Investment Bank Regulation SystemsDifferentiation of Profitability Models among Securities Traders as Larger Ones Become More Weil-Rounded and InternationalizedEvolutionary History and Structural Patterns of Investment Banks in JapanPost Purge Institutional Environment for Risk Management in Securities CompaniesA Global Perspective Of Capital Markets Management of Risks Associated with Securities Margin Trading Business of Securities CompaniesRisk Assessment Undermotivated Innovation and Underdeveloped Competitiveness of Securities Companies Number of Securities Companies Stabilized, Industry Competition Sharply Increased FUNCTIONAL ORIENTATION FOR SECURITIES FIRMSSoochow Securities—Brokerage Supplemented with Investment Banking, Firm Regional Foothold, and Nationwide ExplorationProviding and Implementing Suggestions ORGANIZATION AND MANAGEMENT IN INVESTMENT RANKS: A GENERAL ANALYSIS RASED ON INSTITUTIONAL RANKING AND FUNCTIONAL RANKINGRisks Associated with the Direct Investment BusinessManagement of Risks Associated with Research and Investment Consultancy Business Chinese Depository System ReformIndustrial Securities: Robust ManagementDEMAND FOR TALENTS IN THE DEVELOPMENT OF THE SECURITIES INDUSTRYProprietary Business Supervising the Wealth Management Plan Focusing on the Cultivation of Financial Holding Companies in Keeping with the Trend Of the Time Attaching Importance to the Effect of Culture on Internal Control Asset Management Business—Product Innovation Facilitating Stock Reforms of State-Owned Companies and Improving Quality of Corporate OperationsU.S. Investment Bank Business Structure Case Study: Lehman BrothersAnalysis of the Market Boards of Breaching SponsorsInvestment Banking Business—Transitioning toward Equal Importance for Securities Issuance and Financial Consultancy Team Building Should Be Conducted in a Coordinated WaySponsor Duty System Evaluating the Overall Financial Condition of the Individual at Present Lessons Differentiated Market Positioning Mixed Companies Sources of Risks in Asset Management BusinessANALYSIS OF INVESTMENT BANK REGULATION IN MATURE OVERSEAS MARKETSCompliance Risks Strategic Risks and Risk-Management Strategies of Securities CompaniesContents of the Wealth Management BusinessFunctional Orientation of Investment Banks The Effect of Location on the Profitability StructureRisk Management in Securities Companies Post Financial CrisisService Capability Analysis Investment Banks: A Brief Survey from the Perspective of Separation of Activities OVERVIEW OF THE DEVELOPMENT HISTORY OF INVESTMENT BANKS IN THE MATURE OVERSEAS MARKETFactors Affecting the Profit Model of a Securities CompanyExperience and Lessons from International Investment Banks (Securities Companies) in Mature MarketsORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMS: A HISTORICAL AND THEORETICAL REVIEWCASE STUDIESAsset Management Business MANAGEMENT OF RISKS ASSOCIATED WITH TRADITIONAL BUSINESS OF CHINESE SECURITIES COMPANIESRisk Management in Chinese Securities CompaniesBusiness Growth Is Driven by Innovation Liquidity Risks Risk Management for the Direct Investment BusinessHow to Effectively Draw on the Comparative Advantages of the Domestic Capital Market, Identify International Customers, and Raise Service Levels Global Investors' Services The Quick Startup Phase—1990 to 1995 Functional Divisions DEVELOPMENT TREND AND CORE COMPETITIVE STRENGTH IN THE SECURITIES INDUSTRYEffective Risk-Management System and Mechanism Analysis of Innovative BusinessANALYSIS OF THE ORGANIZATIONAL STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSSOME DIRECTIONS FOR THE FUTURE DEVELOPMENT OF CHINESE SECURITIES FIRMSInvestment Research Talent Criteria for an Ideal Future Management Model for Chinese Securities Firms: Factors Within FirmsJun'an Securities: The Fall of a StarThe Irreversible Trend of Economic and Financial Globalization Management of Risks Associated with Stock Index Future BusinessEarly Glory Four Factors Determining the Competitive Edge of Securities CompaniesCompliance Generates Power for the Sustainable Development Mechanism Management of Risks Associated with Investment Banking Business of Securities CompaniesUniformityThe Fast-Development Phase of Chinese Securities Companies, 1996 to 2001Change of Activities and in Organization and Management in the Chinese Securities FirmsCultivation and Growth of Innovative BusinessMajor Categories Of Risks Particularities of Securities Issuance and TradingInnovation in Traditional BusinessFinancial Holding Companies: DefinitionWhat China Can Learn from the Business Structures of American Investment BanksPublicly Held Companies WHAT CHINA CAN LEARN FROM THE DEVELOPMENT OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSTying Profit to Duties Performed by a SponsorMisappropriation of Clients' Security Deposits by Securities Firms and the Industry-wide CrisisCHARACTERISTICS OF THE PROFITABILITY MODEL OF SECURITIES COMPANIESSponsor Competence StandardizationAdministration and Rectification Phase, 2001 to 2005The Impact of Securities Firms as Public Companies Profitability Of Securities Firms Enhanced The Policy Orientation to Classification-Based Market Access and Oversight Greatly Supports Independent Securities Firms in Diversification Chartered Financial Analysts (CFA) Incompetence of SponsorsLessons Internal FactorsTaking Full Advantage of Advanced Risk-Management Techniques without Relying Too Much on Them Sponsor Representative Attaching Importance to Risk Identification and Response While Setting Strategic Goals for Internal Control Strongly Enhanced the Development of Transparency in the Capital Market U.S. Investment Bank Business Structure Case Study: Merrill LynchLessons CASE STUDIES: TYPICAL CHINESE SECURITIES FIRMS Lessons Promote Differentiation-Based Management and CompetitionEvolutionary History and Structural Patterns of Investment Banks in the United StatesWanguo Securities: A Story about a Broken DreamThe Chinese Mainland Stock Markets: From Quota Management to Sponsor SystemActive Contributions to Activating Idle Social Assets and Improving Overall Operational Quality of National Economy The Preliminary Phase of Chinese Securities Companies—1987 to 1995Rapidly Expanding Stock Market Theoretical and Practical Judgment Based on Functions of Securities CompaniesThe Hong Kong Growth Enterprise Market: A System of Decomposed Sponsor Roles Financial Globalization Gets Chinese Securities Firms Involved STATUS QUO AND TREND ANALYSIS OF RISK MANAGEMENT IN SECURITIES COMPANIESThe Case of HepalinkFarsighted Development Strategy and Efficient Capital Operation Asset Securitization CapabilitiesFunctional Requirements for Wealth Management Service PersonnelThe Main Driving Force of an Emerging International Financial Center in ChinaManagement of Risks Associated with Research and Investment Consultancy Business of Securities CompaniesWealth ManagerTheoretical Frameworks for Human Resource Management in Securities CompaniesSponsor Regimes in Overseas Securities MarketDifferentiated Marketing Strategy Is Vital to Success Transform Business ModelsInternal Environment PROFITABILITY STRUCTURES OF CHINESE SECURITIES COMPANIESSpecifying the Rights and Responsibilities between the Sponsor and the Issuer High-Caliber Personnel History An Empirical Study of the Function of a Securities Underwriter's GoodwillANALYSIS OF BUSINESS STRUCTURES OF INVESTMENT BANKS IN MATURE INTERNATIONAL MARKETSSpecifying the Rights and Responsibilities between the Sponsor Representative and the Sponsor Institution Identifying Their Purposes and Goals CHANGE OF THE CHINESE DEPOSITORY SYSTEM FOR SECURITY DEPOSITS AND HOW CHINESE SECURITIES FIRMS FUNCTIONHISTORIC CONTRIBUTIONS OF CHINESE SECURITIES FIRMSThe Prevailing "Buyer's Market" of Talent Is Forcing Securities Companies to Make Breakthroughs in Their Talent Recruitment Techniques THE EVOLUTION OF CHINESE FINANCIAL STRUCTURE IN THE FUTUREEvolution PredictionManagement of Risks Associated with Brokerage BusinessStrict Separation Of Activities (1995-1999) Wealth Manager The Infancy Phase—1987 to 1990 Financial Holding Companies: The Best Model for Large Investment Banks in the Tendency toward IntegrationAbout the CICC Management of Risks Associated with the Brokerage Business of Securities CompaniesBackground and Significance of Studies on Securities Company Profitability ModelsMarketing Service Management Talent Haitong Securities: A Shady DealQuantitative Analysis of Talent Demand Investment Banks in the Financial System: Definition and Functional OrientationThe Coup EFFECTIVE TALENT MANAGEMENT IN SECURITIES COMPANIESOptimizing Governance Structures and Improving Operation Efficiency of Securities Companies Specifying the Rights and Responsibilities between the Sponsor and the Regulator Senior Managers THE BIRTH AND GROWTH OF CHINESE SECURITIES COMPANIES—A BRIEF HISTORYEmpirical Tests and ResultsAnalysis of Sponsor Regime for Chinese Securities CompaniesHow Securities Firms Function: Information Network, Reputation Management, and Tacit SkillsTunneling Caused by Direct Investments and IPOs Analysis of the Profit Model of Chinese Securities CompaniesMessages in Terms of Corporate Governance and Internal ControlAmbiguous Rights and Responsibilities for the Sponsor Representative and the SponsorAnalysis of the Annual Frequency of Punishments against SponsorsA Case Study of Misappropriation of Client Security Deposits by Chinese Securities Firms Securities Regulation System Further Streamlined Active Innovation in Business Varieties Analysis of the Status Quo of Risk Management in Chinese Securities CompaniesInnovation-Powered Business Growth: Two TransformationsManagement of Risks Associated with Asset Management Business of Securities CompaniesSpecifying the Rights and Responsibilities of the Sponsor, the Issuer, and the RegulatorQuantitative Risk-Management Method Post-1980 Tendency and the Latest Developments of Organization and Management in Investment Banks around the World Organizational Forms of Investment Banks in Mature International MarketsSome Experience Gained from Undergoing Pilot Programs of the Financial Holding Model and Integration Of Activities Brokerage Business—Specialized Operation Financial Risks Risk-Management MethodsHistorical DataEvolutionary History and Structural Patterns of Investment Banks in GermanyAdvanced Risk-Management Concepts CONSTRUCTION OF NEW PROFITABILITY MODELSREVIEW OF THE PROS AND CONS OF CHINESE SECURITIES COMPANIESProfessional TalentConcurrence of Separation and Crossover (Since 2000) Ambiguous Rights and Responsibilities between the Sponsor and the Issuer Characteristics of Securities Company HR Management Determined by the IndustryCITIC Securities: The Benchmark MakerDirect Investment ORIGIN AND DEVELOPMENT OF THE SPONSOR REGIME IN CHINAGF Securities: A Success Story of an Ordinary Unprivileged BusinessHow International Demand Gives Rise to Internationalized Vision and Raises the Bar for Service Capability Hard-Earned Success Improving Stock Issuance Pricing System and Securities Market Litigation SystemSolid Evaluation and Incentive Mechanisms Are NeededAnalysis of Risks Associated with Securities Margin TradingAmbiguous Rights and Responsibilities between the Sponsor Institution and Other Intermediary Institutions. Sources of Risks Facing Securities CompaniesSources of Risks in Stock Index Futures BusinessInspirations Drawn from the Financial Crisis for the Risk Management of Securities CompaniesSOME IDEAS OF OVERALL POLICY FOR FUTURE ORGANIZATIONAL AND MANAGEMENT TRANSFORMATION IN CHINESE SECURITIES FIRMSInternational Finance-Related Services Capabilities in M&A and Reorganization of Resources AvailableSponsor Structure Selection of Landing Site for Financial Holding Model Specifying the Rights and Responsibilities between the Sponsor Institution and Other Intermediary Agencies Development of Both Wholly Owned and Equity-Controlled Business; Taking Root in Beijing, Guangdong, Shanghai, Zhejiang, and Shandong; Brokerage Accounting for Half of the RevenuesManagement of Risks Associated with Investment Banking Business of Securities CompaniesControl Activities Operational Risks Development Paths of Overseas Investment Banks as Inspirations for ChinaTougher Penalties for Law-Breaching SponsorsSome Puzzling Aspects of This Reverse Takeover DealThe CICC: Going UpscaleWhat Can China Learn from Overseas Investment Bank Regulation SystemsLessons Pan-Banking CharacteristicsRisk AllocatorPreliminary Formation of a Separated Regulation Model in the Securities Industry Information Communication Profitability Model Needs to Be Clearly DefinedFunctional Evolution—An Analysis with Particular Interest to the Function of an Underwriter's GoodwillSponsor Qualifications Policy Risks Changes of GDP and Disposal Income Per CapitaAnalysis of Functions of Chinese Securities CompaniesMessages in Terms of Organizational StructureSELECTION OF MODELS (GOALS) FOR CHANGE OF ORGANIZATION AND MANAGEMENT IN CHINESE SECURITIES FIRMSAbout CITIC Securities Core Competitive Strength of Securities CompaniesRegulators Should Provide Necessary Protection of Private Securities Firms' Rights and Interests on the Principle of Fair and Equitable Treatment Major Sources Risks in Securities Proprietary Business Client Group Analysis Marketization and Emerging Private Securities FirmsHeterogeneous Financial Conglomerates (HFC) An Innovator in Financial ProductsProduct Pricing Improving Understanding of Internal Control Systems High Personnel Mobility Becomes a Double-Edge Sword in Human Resource ManagementReview and Judgment of Historical Roles of Chinese Securities CompaniesProfit Methods of the Securities Company The Term of Sponsors Cultivating Core Business, Launching Differentiated Services and Specialty Services CORE COMPETITIVE EDGEAnalysis of Sponsor Institution and Representative Credit Regulation by Regulatory MeasuresImproving Risk-Management Architecture, Making Boosted Development of a Financial System Anchored on the Securities Market Market Risks Regulatory Framework for Financial Asset Management Company-Based Financial Holding Model The Citigroup Model Business Model B Appeal to Upscale Clients Historical Performance of the Function of Goodwill Development Trends of Securities CompaniesSecurities Proprietary Business Risk ManagementPunishment for Rule-Breaching SponsorsThe General Growth Trend of the Chinese Economy Going ForwardSecurities Margin Trading BusinessGuaranteed Market Liquidity Resource Input Analysis Creating a Harmonious Financial Investment Culture for a Mutually Beneficial OutcomeNOTE FROM THE AUTHORAnalysis of the Management Model of Chinese Securities CompaniesAppropriately Spreading Out Equity and Enhancing the Foundation of Internal ControlBrokerage Commission Business
 
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