by Chan Suk-hang, Regge, Tse Yuen-yee, Pamela. / Abstracts also in Chinses / Bibliography: leaves 148-150 / Thesis (M.B.A.)--Chinese University of Hong Kong, 1983

by Cheung Kam-mui, Polina. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1995. / Includes bibliographical references (leaves 78-81). / ABSTRACT --- p.iii / ACKNOWLEDGEMENTS --- p.v / TABLE OF CONTENTS --- p.vi / Chapter / Chapter I. --- INTRODUCTION --- p.1 / The Emergence of Private Banking --- p.1 / Objectives and Scope of Study --- p.3 / Chapter II. --- INDUSTRY SYNOPSIS --- p.7 / History --- p.7 / Present Development --- p.8 / Chapter III. --- THE FRAMEWORK OF PRIVATE BANKING --- p.13 / Framework Description --- p.13 / Customer Profile --- p.14 / Marketing Strategies --- p.19 / Private Banker Profile --- p.26 / Physical Environment --- p.31 / Product Profile --- p.33 / Invisible Part - Internal Organisational Structure --- p.39 / Chapter IV. --- MACROENVIRONMENT ANALYSIS --- p.41 / Competition Profile --- p.41 / Legal Environment Profile --- p.50 / Chapter V. --- POTENTIAL THREATS --- p.55 / The 1997's Issues --- p.55 / Internal Factors --- p.57 / Chapter VI. --- FUTURE TRENDS --- p.60 / Merging with Trustee Services --- p.60 / Customer Diversification - Active Investor Market --- p.61 / Control through Information System --- p.63 / Chapter VII. --- RECOMMENDATIONS --- p.65 / Personnel --- p.65 / Cross-selling Performance Evaluation System --- p.66 / "Bank Policy, Authorities and Flexibilities" --- p.68 / Marketing and Product Development --- p.70 / APPENDIX --- p.74 / REFERENCE --- p.76 / BIBLIOGRAPHY --- p.78

published_or_final_version / Business Administration / Master / Master of Business Administration

by Hui See-mun Alice. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1994. / Includes bibliographical references (leaves 51-53). / ABSTRACT --- p.i / TABLE OF CONTENTS --- p.ii / LIST OF ILLUSTRATIONS --- p.iii / Chapter / Chapter I. --- INTRODUCTION --- p.1 / Chapter II. --- METHODOLOGY --- p.3 / Chapter III. --- TOTAL QUALITY MANAGEMENT - AN OVERVIEW --- p.5 / Importance of Quality to banks --- p.5 / History of TQM --- p.7 / Definitions on Quality.......: --- p.9 / Definitions of Total Quality Management --- p.10 / Critical factors for a successful TQM program --- p.14 / Chapter IV. --- TQM IN CHASE MANHATTAN BANK --- p.18 / Reasons for implementing TQM in Chase --- p.18 / Fundamental principles and values of Chase TQM --- p.18 / TQM implementation in Hong Kong --- p.23 / Chapter V. --- EVALUATION AND RECOMMENDATIONS --- p.29 / Evaluation of the system --- p.29 / Recommendations --- p.33 / Chapter VI. --- CONCLUSION --- p.39 / APPENDIX / Chapter 1. --- Overview of ISO 9000 --- p.41 / Chapter 2. --- HKMA Quality Award Criteria Framework --- p.43 / Chapter 3. --- TQM plan --- p.44 / Chapter 4. --- Problem solving process 8c Quality improvement process --- p.45 / Chapter 5. --- Deming's 14 principles --- p.46 / Chapter 6. --- Juran's 10 steps in quality improvement --- p.47 / Chapter 7. --- Crosby's 14 steps in quality improvement --- p.48 / Chapter 8. --- Malcolm Baldrige Award assessment system --- p.49 / BIBLIOGRAPHY --- p.51 / LIST OF ILLUSTRATIONS / Figure 1. Framework of Chase TQM --- p.19 / Figure 2. Plan-Do-Check-Act Cycle --- p.21 / Figure 3. TQM Plan --- p.44 / Figure 4. Problem Solving Process --- p.45 / Figure 5. Quality Improvement Process --- p.45

by Simon Leung Tak-wing, Elmen Li Pak-kee. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1991. / Bibliography: leaves 36-38. / ABSTRACT --- p.ii / TABLE OF CONTENTS --- p.iii / CHAPTER / Chapter I --- INTRODUCTION --- p.1 / Chapter II --- IMPORTANCE OF RISK MANAGEMENT IN BANK MANAGEMENT --- p.4 / Chapter III --- RESEARCH METHODOLOGY OF THE STUDY --- p.7 / Chapter IV --- MANAGEMENT INFORMATION SYSTEM AND TREASURY MANAGEMENT --- p.12 / Chapter V --- IMPLICATIONS OF ADOPTING MANAGEMENT INFORMATION SYSTEM --- p.16 / Chapter VI --- FINDINGS WITH A FEW SELECTED BANKS IN HONG KONG --- p.21 / Chapter VII --- CONCLUSIONS AND OUTLOOK OF MIS IN TREASURY MANAGEMENT --- p.30 / BIBLIOGRAPHY --- p.36

by Lam Siu Mui Elena, Ng Sheung Kwan Natalie. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1987. / Bibliography: leaf 128.

by Chak Siu Choi. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1998. / Includes bibliographical references. / ABSTRACT / TABLE OF CONTENTS / Chapter I. --- INTRODUCTION --- p.1 / Hong Kong as a Financial Hub --- p.1 / Reengineering Defined --- p.2 / Bank Reengineering at a First Glance --- p.3 / Objectives --- p.4 / Methodology --- p.4 / Secondary Data --- p.4 / Questionnaires --- p.5 / Chapter II. --- THE DEVELOPMENT OF REENGINEERING IN THE BANKING INDUSTRY --- p.6 / The Rule of Regulated Oligopolies (1960-1981) --- p.6 / The Rise of Disintermediation and Excess Credit Risk (1981-1991) --- p.8 / The Reengineering Imperative (1990s) --- p.10 / Chapter III. --- THE TIMING CONCERN OF THE REENGINEERING BANK --- p.12 / Languishing Stock Price --- p.13 / Strategic Directions Conflict with Market Valuation --- p.13 / Sub-Par Efficiency Ratios --- p.13 / Perceived Process Redundancy --- p.14 / Senior Management's Will and Skill --- p.14 / Chapter IV. --- THE STRATEGIES OF THE REENGINEERING BANK --- p.15 / Preparing for Change --- p.17 / Understanding Current Costs --- p.17 / Understanding Current Pricing --- p.17 / Generating Reengineering Options --- p.18 / Refining Options --- p.18 / Creating the New Bank --- p.18 / Chapter V. --- BANK REENGINEERING OVERSEAS --- p.20 / "NationsBank, Charlotte" --- p.20 / "Norwest Corp., Minneapolis" --- p.21 / "First Commerce Corp., New Orleans" --- p.21 / "Premier Bank, Louisiana" --- p.21 / "Merchants Bank, Vermont" --- p.22 / "Texas Commerce Bank, Texas" --- p.22 / Chapter VI. --- BANK REENGINEERING IN HONG KONG --- p.24 / Shifting Demographics --- p.24 / Increasing Customer Sophistication --- p.24 / Intensifying Competition --- p.25 / Growing Use of Technology --- p.25 / Standard Chartered Bank --- p.26 / Dah Sing Bank --- p.27 / Citibank --- p.28 / Bank of East Asia --- p.28 / Chapter VII. --- THE DIFFICULTIES AND PROBLEMS FACED BY THE REENGINEERING BANK --- p.33 / Chapter VIII. --- IMPLICATIONS TO THE BANKING INDUSTRY --- p.36 / APPENDICES / BIBLIOGRAPHY

by Cheung Hoi Yin. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1999. / Includes bibliographical references (leaves 59-61). / ABSTRACT --- p.ii / TABLE OF CONTENTS --- p.iv / LIST OF ILLUSTRATIONS --- p.v / LIST OF TABLES --- p.vi / ACKNOWLEDGEMENT --- p.vii / Chapter / Chapter I. --- INTRODUCTION --- p.1 / Asia Economic Turmoil --- p.1 / Importance of Risk Management --- p.2 / Literature Review --- p.3 / Methodology --- p.8 / Data --- p.9 / Chapter II. --- CREDIT RISK --- p.12 / Introduction --- p.12 / What Is A Mortgage --- p.14 / Credit Risk of Residential Mortgage --- p.16 / Banking System in Hong Kong --- p.17 / Chapter III. --- BRIEF REVIEW OF OTHER RISKS IN BANKING … --- p.19 / Interest Rate Risk --- p.19 / Liquidity Risk --- p.20 / Capital Risk --- p.22 / Market Risk --- p.23 / Off-Balance Sheet Risk --- p.24 / Chapter IV. --- FINDINGS --- p.26 / Outstanding Mortgage Balance --- p.26 / Gross New Loans Made --- p.26 / Property Price Movement --- p.27 / Unemployment and Underemployment Rate --- p.30 / Delinquency Ratio --- p.31 / Loan-To-Valuation Ratio --- p.33 / Lending Policy of Authorized Institutions on Mortgage Lending --- p.33 / Chapter V. --- WILCOXON RANK TEST --- p.35 / Chapter VI. --- CONCLUSIONS & RECOMMENDATIONS --- p.38 / GRAPH & TABLE --- p.41 / Graph --- p.41 / Table --- p.53 / BIBLIOGRAPHY --- p.59

by Lok Ka Chiu, Wong Huck Keung. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1995. / Includes bibliographical references (leaves 121-122). / ABSTRACT --- p.ii / ACKNOWLEDGEMENT --- p.iv / TABLE OF CONTENTS --- p.v / LIST OF TABLES --- p.ix / Chapter / Chapter 1. --- INTRODUCTION --- p.1 / Chapter 1.1 --- Scope and Objectives --- p.1 / Chapter 1.1.1 --- Evaluation and Control of Risks --- p.2 / Chapter 1.1.2 --- Measurement of Performance of Treasury Activities in a Dealing Room --- p.4 / Chapter 1.2 --- Methodology and Sources of Information --- p.6 / Chapter 2. --- EVALUATION AND CONTROL OF RISKS --- p.8 / Chapter 2.1 --- Scope of Risk Management --- p.12 / Chapter 2.1.1 --- Board and Senior Management Oversight --- p.14 / Chapter 2.1.2 --- Independent Risk Management and Control Functions --- p.16 / Chapter 2.1.3 --- "Integration of People, System and Organisation" --- p.17 / Chapter 2.2 --- Risk Management Process --- p.18 / Chapter 2.2.1 --- Risk Management --- p.19 / Chapter 2.2.2 --- Limit Control System --- p.21 / Chapter 2.2.3 --- Reporting System --- p.22 / Chapter 2.2.4 --- Management Evaluation and Review --- p.22 / Chapter 2.3 --- Various Types of Risks --- p.24 / Chapter 2.3.1 --- Market Risk Management --- p.24 / Chapter 2.3.1.1 --- Mark to Market Evaluation --- p.25 / Chapter 2.3.1.2 --- """Worst Reasonable Case"" Scenario / ""Stress"" Scenario Analysis" --- p.26 / Chapter 2.3.2 --- Liquidity Risk Management --- p.29 / Chapter 2.3.2.1 --- Controlling the Liquidity Risks --- p.30 / Chapter 2.3.3 --- Credit Risk Management --- p.30 / Chapter 2.3.3.1 --- Limiting / Controlling Credit Risk --- p.31 / Chapter 2.3.3.2 --- Credit Risk Limit --- p.31 / Chapter 2.3.4 --- Operation Risk Management --- p.31 / Chapter 2.3.4.1 --- Proper Management and System Support --- p.32 / Chapter 2.3.4.2 --- Proper Internal and Operational Control --- p.33 / Chapter 2.3.5 --- Legal Risk Management --- p.34 / Chapter 2.3.5.1 --- Enforceability of Agreements --- p.34 / Chapter 2.3.5.2 --- Making Use of Netting Agreements --- p.35 / Chapter 2.4 --- Internal Control and Audit --- p.35 / Chapter 2.4.1 --- Internal Audit Activities --- p.36 / Chapter 3. --- PREVAILING MARKET FOCUS ON RISK MANAGMENT --- p.37 / Chapter 3.1 --- Management Supervision and Internal Control System within Local --- p.38 / Chapter 3.1.1 --- Branch and Additional Monitoring at Head Office / Chapter 3.1.2 --- Client Suitability and Risk Disclosure --- p.39 / Chapter 3.1.3 --- Resources to Support Existing Range of Treasury Products --- p.39 / Chapter 3.2 --- A Central Banker's View on Derivatives --- p.40 / Chapter 4. --- THE CASE OF AN INTERNATIONAL BANK IN HONG KONG RE: EVALUATION AND CONTROL OF RISK --- p.43 / Chapter 4.1 --- Overview of Activities of the Chosen Bank --- p.44 / Chapter 4.2 --- Reasons for Choosing one Particular Bank for this Case Study --- p.46 / Chapter 4.3 --- Organisational Structure of Global Control Department --- p.47 / Chapter 4.4 --- Risk Control System of the Chosen Bank --- p.47 / Chapter 4.4.1 --- Board and Senior Management Oversight --- p.47 / Chapter 4.4.2 --- Independent Risk Management and Control Function --- p.49 / Chapter 4.4.3 --- Risk Management --- p.49 / Chapter 4.4.3.1 --- Description of Risk Management Systems --- p.50 / Chapter 4.4.3.2 --- Limits for each type of risks involved in its treasury activities --- p.53 / Chapter 4.4.4 --- Operational Risk Management --- p.57 / Chapter 4.4.5 --- Legal Risk --- p.57 / Chapter 4.4.6 --- Internal Control and Audit --- p.59 / Chapter 4.5 --- Problems in Implementing Sound Control System --- p.60 / Chapter 4.5.1 --- Limited Human Resources --- p.60 / Chapter 4.5.2 --- Powerful Risk Analytical Tools too costly for an individual branch --- p.60 / Chapter 4.5.3 --- Management Philosophy Biased towards Profit Making --- p.61 / Chapter 4.5.4 --- Necessary Skills in Control Department are in Short Supply --- p.61 / Chapter 4.5.5 --- Time Lag in Coping with Fast Growing Market Development --- p.62 / Chapter 4.6 --- Suggested Areas for Further Improvement --- p.63 / Chapter 4.6.1 --- Change in Management's attitude and philosophy towards risk Management --- p.63 / Chapter 4.6.2 --- Setting up of Independent Control and Reporting Channel --- p.63 / Chapter 4.6.3 --- More Rigorous Management Supervision --- p.64 / Chapter 4.6.4 --- Upgrade the Status and Delegate more authority to the Control Staff --- p.64 / Chapter 4.6.5 --- Training and Development of Existing Staff --- p.65 / Chapter 4.6.6 --- Explore the Benefits of Netting Arrangements --- p.65 / Chapter 4.6.7 --- Modify the Bonus System for Traders --- p.65 / Chapter 4.6.8 --- Follow the Market Trend towards more Disclosure to Customers --- p.66 / Chapter 4.6.9 --- Installation of Value-at-risk Evaluation Model for Complex Products --- p.66 / Chapter 5. --- MEASUREMENT OF PERFORMANCE OF TREASURY ACTIVITIES IN A DEALING ROOM --- p.68 / Chapter 5.1 --- Principles for Performance Measurement --- p.69 / Chapter 5.2 --- Other Important Aspects of Performance Measurement From a Practical Perspective --- p.73 / Chapter 5.3 --- Dealers' General Attitude towards Performance Targets --- p.77 / Chapter 5.4 --- Possibilities of Over-exaggeration of Trading Results / Hiding of Losses --- p.78 / Chapter 5.5 --- Actions to be Taken by Banks to Reduce the above Risks --- p.79 / Chapter 6. --- THE CASE OF AN INTERNATIONAL BANK IN HONG KONG RE : MEASUREMENT OF PERFORMANCE OF TREASURY ACTIVITIES IN A DEALING ROOM --- p.81 / Chapter 6.1 --- Situation before Implementation of New Computer System --- p.81 / Chapter 6.2 --- Current Situation --- p.84 / Chapter 6.3 --- Reasons for Inability to Measure the Performance of Treasury Activities Satisfactorily --- p.91 / Chapter 6.4 --- Suggested Areas for Further Improvements --- p.94 / Chapter 7. --- PRACTICES OF OTHER FOREIGN BANKS IN HONG KONG --- p.97 / Chapter 7.1 --- General Situation --- p.97 / Chapter 7.2 --- Current Practices of Some Active Players --- p.99 / Chapter 7.2.1 --- Overall View on Dealing Room Activies of these Banks --- p.100 / Chapter 7.2.2 --- Policies and Procedures on Risk Management --- p.100 / Chapter 7.2.3 --- Independent Risk Managment Unit --- p.100 / Chapter 7.2.4 --- Risk Management --- p.101 / Chapter 7.2.5 --- Dealings in Derivatives with Customers --- p.101 / Chapter 7.2.6 --- Involvement of Internal Auditors --- p.102 / Chapter 7.2.7 --- Performance Measurement --- p.102 / Chapter 8. --- CONCLUSION --- p.103 / APPENDIX 1. Summary of Response on Questionnarie --- p.108 / APPENDIX 2 . Brief Background Information --- p.115 / APPENDIX 3 . Procedure Manual on Benchmark Rates --- p.116 / BIBLIOGRAPHY --- p.121 / GLOSSARY --- p.123

by Fu Yuen Yeh. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1994. / Includes bibliographical references (leaves [40-41]). / LIST OF TABLES --- p.iv / ABSTRACT --- p.v / ACKNOWLEDGEMENT --- p.vi / CHAPTERS Page / Chapter 1. --- INTRODUCTION --- p.1 / Chapter 2. --- BACKGROUND --- p.2 / Grouping of Loans --- p.3 / Risk Management in Commercial Banks --- p.4 / credit risk / liquidity risk / interest rate risk / fraud risk / Risk Management in International Banking --- p.8 / Loan Diversification --- p.10 / industry diversification / geographic diversification / Loan Policies --- p.15 / Chapter 3. --- METHODOLOGY --- p.17 / Chapter 4. --- FINDINGS AND DISCUSSIONS --- p.19 / Respondent Profile --- p.19 / Existence of formal loan diversification policies --- p.22 / Credit concentration policy --- p.23 / Diversification strategies --- p.24 / Concentration control --- p.27 / Currency risk --- p.28 / Currency composition of loan portfolio --- p.29 / Respondents' Opinion --- p.29 / Chapter 5. --- CONCLUDING DISCUSSIONS --- p.31 / APPENDICES / Chapter A.1 --- Balance Sheet: All authorised institutions / Chapter A.2 --- Interbank lending: by country of origin / Chapter A.3 --- Loans and advances analysed by currency denominations / Chapter A.4 --- Loans for use inside and outside Hong Kong / Chapter A.5 --- Questionnaire sample / Chapter A.6 --- Summary of questionnaire responses / BIBLIOGRAPHY