A study of the professional status of stockbrokers in Hong Kong.

• Other Authors: Chan, Ping-chung.
• Format: Others
• Language: English
• Published: Chinese University of Hong Kong 1973
• Subjects: Brokers; Brokers > China > Hong Kong
• Online Access: http://library.cuhk.edu.hk/record=b5886512; http://repository.lib.cuhk.edu.hk/en/item/cuhk-321321

Summary in Chinese. === Thesis (M.B.A.)--Chinese University of Hong Kong. === Bibliography: leaves 105-106. === PREFACE --- p.ii === LIST OF EXHIBITS --- p.v === Chapter Chapter I --- INTRODUCTION === Chapter A --- Definition of Stockbroker in This Study --- p.1 === Chapter B --- The Expanding Hong Kong Stock Market --- p.1 === Chapter C --- The Importance of Professional Status of Stockbrokers --- p.4 === Chapter D --- The Purpose and Scope of the Study --- p.4 === Chapter E --- THE Research Methodology and Its Limitations --- p.5 === Chapter Chapter II --- A GENERAL REVIEW OF THE HONG KONG SECURITIES INDUSTRY === Chapter A --- Historical Sketch and the Booming of the Hong Kong Stock Market in Recent Years --- p.12 === Chapter B --- The Effort of Improvement Done by the Present Exchanges --- p.15 === Chapter C --- Requirements and Exchange Regulations of a Member Firm --- p.19 === Chapter D --- The Organization Structure of a Securities Firm in Hong Kong --- p.24 === Chapter E --- The Largest Brokerage Firm in Hong Kong --- Sun Hung Kai Investment Company === Chapter F --- The Concern by the Hong Kong Government about Stock Speculation and the Establishment of the Securities Advisory Committee --- p.28 === Chapter Chapter III --- THE PROFESSIONAL REQUIREMENTS OF A STOCKBROKER === Chapter A --- The Local Regulations --- p.33 === Chapter B --- Overall Data from the Interviews --- p.34 === Chapter C --- Should the New York Stock Exchange's Registered Representative System be Applied to the Local Stock Market? --- p.41 === Chapter D --- Should the Hong Kong Stock Market Employ a Specialist (or Jobber) System? --- p.44 === Chapter Chapter IV --- THE ETHICAL CONDUCT OF HONG KONG STOCKBROKERS === Chapter A --- A Literature Review of Ethical Conduct --- p.57 === Chapter B --- A Survey of the Public Opinion with respect to the Ethical Conduct of Stockbrokers --- p.68 === Chapter C --- The Government's Moves to Promote a Healthier Market --- p.77 === Chapter V --- THE AUDITING REQUIRIXENTS AND OBLIGATIONS OF STOCKBROKERS === Chapter A --- Internal Auditing --- p.82 === Chapter B --- External Auditing --- p.86 === Chapter C --- The Requirement of Minimum Margin of Solvency --- p.92 === Chapter D --- The Problem of Partnership versus Corporation of Brokerage Firms --- p.93 === Chapter Chapter VI --- CONCLUSIONS AND RECOMMENDATIONS --- p.98 === BIBLIOGRAPGY --- p.105