published_or_final_version / Business Administration / Master / Master of Business Administration

published_or_final_version / Business / Master / Master of Philosophy

published_or_final_version / Business / Doctoral / Doctor of Philosophy

published_or_final_version / Business Administration / Master / Master of Business Administration

published_or_final_version / Business Administration / Master / Master of Business Administration

published_or_final_version / Public Administration / Master / Master of Public Administration

Chui Wai-yin Raymonod. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1994. / Includes bibliographical references (leaves 57-58). / ABSTRACT --- p.i / TABLE OF CONTENTS --- p.ii / ACKNOWLEDGEMENTS --- p.iii / Chapter / Chapter I. --- INTRODUCTION --- p.1 / Background Information --- p.1 / Purpose of the Study --- p.2 / Methodology --- p.3 / Limitations --- p.4 / Chapter II. --- CORPORATE GOVERNANCE --- p.5 / Introduction --- p.5 / Why is Corporate Governance Important --- p.6 / Chapter III. --- The CURRENT STOCK MARKET IN Hong Kong --- p.9 / Characteristics --- p.9 / Governing Body --- p.11 / Rules and Regulations --- p.13 / Chapter IV. --- MINORITY SHAREHOLDERS' PROTECTION --- p.16 / Insider trading --- p.16 / Introduction of Independent Directors --- p.21 / Foreign Domiciled Companies --- p.23 / Director's Remuneration --- p.25 / Interim Results Announcement --- p.26 / Responsibility of Auditors --- p.27 / Privatization --- p.28 / Profit Projections --- p.29 / Disclosure Requirement --- p.30 / Financial Statement --- p.31 / Trigger Level --- p.31 / Chapter V. --- QUESTIONNAIRES --- p.32 / Objective --- p.32 / Findings --- p.33 / Chapter VI. --- INTERVIEW --- p.36 / Purpose --- p.36 / Findings --- p.36 / Chapter VII. --- RECOMMENDATIONS --- p.37 / Insider Dealing --- p.37 / Foreign Domiciled Companies --- p.38 / Introduction of Independent Directors --- p.39 / Director's Remuneration --- p.40 / Chapter VIII. --- CONCLUSIONS --- p.41 / APPENDIX --- p.42 / Chapter I. --- Market Capitalization of the Hong Kong Stock Exchange --- p.42 / Chapter II. --- Percentage of Shares Owned by Major Shareholders --- p.43 / Chapter III. --- PRC Domiciled Companies Listedin the Hong Kong Stock Exchange --- p.44 / Chapter IV. --- Statistics on Director's Remuneration --- p.45 / Chapter V. --- Questionnaires sent to Directors --- p.46 / Chapter VI. --- List of Companies to which Questionnaires were sent --- p.55 / BIBLIOGRAPHY --- p.57

by Szeto Yee Tak. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1996. / Includes bibliographical references (leaves 73-76). / ABSTRACT --- p.I / TABLE OF CONTENTS --- p.III / ACKNOWLEDGEMENT --- p.VII / CHAPTER / Chapter 1.0 --- Corporate Governance and Securities Market --- p.1 / Chapter 2.0 --- The Framework of Corporate Governance - Conformance --- p.3 / Chapter 2.1 --- Corporate Governance Defined --- p.3 / Chapter 2.2 --- Corporate Governance as Related to Public-listed Companies --- p.4 / Chapter 2.3 --- Corporate Governance and Legislation --- p.6 / Chapter 3.0 --- Regulatory Framework of Corporate Governance in Hong Kong --- p.8 / Chapter 3.1 --- The Regulatory Bodies - A Brief History --- p.8 / Chapter 3.1.1 --- The Stock Exchange of Hong Kong --- p.9 / Chapter 3.1.2 --- The Securities and Futures Commission --- p.10 / Chapter 4.0 --- Director's Duties and Liabilities --- p.11 / Chapter 4.1 --- Director's Duties at Common Law --- p.11 / Chapter 4.2 --- Director's Duties - Listed Company --- p.15 / Chapter 4.2.1 --- The Listing Rules --- p.15 / Chapter 4.2.2 --- The Listing Document --- p.16 / Chapter 4.2.3 --- Notifiable Transactions --- p.18 / Chapter 4.2.4 --- Model Code for Dealing in Securities by Directors --- p.19 / Chapter 4.2.5 --- Further Disclosure Requirement for Director's Interests --- p.21 / Chapter 4.3 --- Director's Undertakings --- p.22 / Chapter 5.0 --- Minority Shareholders' Rights --- p.25 / Chapter 5.1 --- Majority Rule Principle --- p.25 / Chapter 5.2 --- Exceptions to Foss v Harbottle Rule --- p.25 / Chapter 5.3 --- Statutory Protection on Minority Shareholders --- p.25 / Chapter 5.4 --- Rights of Members --- p.29 / Chapter 5.5 --- Financial Statements --- p.29 / Chapter 5.6 --- Minority Shareholder's Protection in Listed Companies --- p.31 / Chapter 5.6.1 --- Revised Codes on Share Repurchases --- p.32 / Chapter 5.6.1.1 --- Restrictions on Share Repurchases- Listed Companies --- p.34 / Chapter 5.6.1.2 --- Notification Requirements --- p.37 / Chapter 5.6.1.3 --- Exemptions from the General Offer Requirements --- p.37 / Chapter 5.6.1.4 --- Offer Period and Other Conditions --- p.38 / Chapter 5.6.1.5 --- Share Repurchases which have Effects Similar to Privatisation --- p.39 / Chapter 5.6.1.6 --- Takeovers Code Implications --- p.40 / Chapter 5.6.2 --- Codes on Takeovers and Mergers --- p.40 / Chapter 5.6.2.1 --- Administration and Sanctioning Powers of the Code --- p.41 / Chapter 5.6.2.2 --- The Principles of the Takeovers Code --- p.43 / Chapter 5.6.2.3 --- The Specific Rules of the Takeovers Code --- p.44 / Chapter 6.0 --- Protection of Investors --- p.48 / Chapter 6.1 --- Protection Against Loss Due to Financial Defaults by Market Participants --- p.48 / Chapter 6.2 --- Protection Against Abuse by Financial Intermediaries --- p.49 / Chapter 6.2.1 --- "Registration Requirements of Dealers, Investment Advisers and Representatives" --- p.49 / Chapter 6.2.2 --- Trading Practice of Registered Dealers --- p.51 / Chapter 6.2.3 --- Protection of Improper Trading Practices --- p.51 / Chapter 6.2.4 --- Duties of Registered Person --- p.52 / Chapter 6.3 --- Protection of Investors - Offering of Securities --- p.53 / Chapter 6.3.1 --- Offers of Shares and Debentures --- p.54 / Chapter 6.3.1.1 --- The Definition of Prospectus --- p.54 / Chapter 6.3.1.2 --- The Prospectus Requirements --- p.55 / Chapter 6.3.1.3 --- Liabilities of Promoters and Directors --- p.57 / Chapter 6.3.1.4 --- Prospectus for Foreign Issues --- p.58 / Chapter 6.3.2 --- Offers of Securities --- p.59 / Chapter 6.3.2.1 --- General Prohibition --- p.59 / Chapter 6.3.2.2 --- Consequence of Breach --- p.60 / Chapter 6.4 --- Protection Against Shareholder's or Director's Abuse of Powers --- p.61 / Chapter 6.4.1 --- Securities (Insider Dealing) Ordinance --- p.62 / Chapter 6.4.1.1 --- The Meaning of Insider Information --- p.62 / Chapter 6.4.1.2 --- The Test of Price Sensitivity --- p.62 / Chapter 6.4.1.3 --- The Definition of an Insider --- p.64 / Chapter 6.4.1.4 --- The Meaning of Dealing in Securities --- p.65 / Chapter 6.4.1.5 --- Validity of Insider Dealing --- p.65 / Chapter 6.4.1.6 --- Liability of Officers --- p.66 / Chapter 6.4.1.7 --- Consequence of Establishment of Insider Dealing --- p.66 / Chapter 6.4.2 --- Securities (Disclosure of Interests) Ordinance --- p.67 / Chapter 7.0 --- Conclusion - A Comment on Corporate Governance in Hong Kong --- p.68 / Chapter 7.1 --- The Composition and Role of the Board --- p.68 / Chapter 7.2 --- Codification of Governance Policy --- p.69 / Chapter 7.3 --- The Necessary Back Up Facilities --- p.71 / BIBLIOGRAPHY --- p.73

Chung Chi-man. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2003. / Includes bibliographical references (leaves 91-94). / Abstracts in English and Chinese. / Abstract --- p.ii / 摘要 --- p.iii / Acknowledgement --- p.iv / Table of Contents --- p.v / Chapter Chapter 1 --- Introduction / Chapter 1.1 --- Agency Theory --- p.1 / Chapter 1.2 --- Separation of Large and Small Shareholders --- p.2 / Chapter 1.3 --- The Role of Auditing in Corporate Governance --- p.5 / Chapter Chapter 2 --- The Framework of Corporate Governance and External Auditing in Hong Kong / Chapter 2.1 --- Corporate Governance in Hong Kong --- p.9 / Chapter 2.2 --- External Auditing in Hong Kong --- p.12 / Chapter Chapter 3 --- Construction of the Data / Chapter 3.1 --- Assembly of the Primary Data --- p.14 / Chapter 3.2 --- Traces of the Identities of the Ultimate Owners --- p.17 / Chapter 3.3 --- Construction of the Industry-Adjusted Audit Rate Data and Some Descriptive Statistics --- p.19 / Chapter Chapter 4 --- Ownership and Control Patterns / Chapter 4.1 --- An Improved Research Methodology --- p.24 / Chapter 4.2 --- Discussions of Ownership and Control Patterns --- p.26 / Chapter 4.3 --- Ownership and Control by Owner Types --- p.30 / Chapter Chapter 5 --- Examples of Typical Ownership Patterns / Chapter 5.1 --- The Li Ka-Shing Business Group --- p.35 / Chapter 5.2 --- The Swire Group --- p.40 / Chapter 5.3 --- The Kuok Khoon-Ean Business Group --- p.41 / Chapter Chapter 6 --- Regression Analyses / Chapter 6.1 --- The Variables --- p.43 / Chapter 6.2 --- Regression Results and Discussions --- p.46 / Chapter 6.3 --- A Restricted Model --- p.52 / Chapter Chapter 7 --- Some Concluding Remarks --- p.55 / Tables / Table 1 Description Statistics of the Unadjusted Auditing Rate Data --- p.57 / Table 2 Separation of Ownership and Control Rights --- p.58 / "Table 3 Control of Publicly Traded Companies, by Owner Types" --- p.59 / Table 4 Description of Regression Variables --- p.60 / Table 5 Regression Results on the Relationship between Industry- Adjusted Auditing Rates and the Largest Shareholders' Ownership and Control (Full Sample) --- p.63 / Table 6 Regression Results on the Relationship between Industry- Adjusted Auditing fee and the Largest Shareholders' Ownership and Control (Family-controlled or Corporate-Entity-controlled Firms Only) --- p.66 / Figures / Figure 1 The Structure of Hang Seng Composite Index --- p.68 / Figure 2 The Relationship between Different Types of Large Shareholders --- p.69 / "Figure 3a The Li, Ka-Shing Group" --- p.70 / Figure 3b Details of the Calculations of the Concentrated Ownership and Control Stakes --- p.71 / Figure 4 The Connections of the Chinese Government and a Diverse Corporation (Swire Group) --- p.72 / "Figure 5 The Kuok, Khoon-Ean Group (An Example of Flat Structure)" --- p.73 / Appendices / Figure A1 HSBC Holdings PLC --- p.74 / Figure A2 The Bank of East Asia --- p.75 / Figure A3 JCG Holdings Limited --- p.76 / Figure A4 Moulin International Holdings limited --- p.77 / Figure A5 Yue Yuen Industrial (Holdings) Limited --- p.78 / Figure A6 Orient Overseas (International) Limited --- p.79 / Figure A7 Sun Man Tai Holdings Company Limited --- p.80 / "Figure A8 The Lee, Shan-Kee Group" --- p.81 / Figure A9 China National Aviation Company Limited --- p.82 / Figure A10 ICBC (Asia) Limited --- p.83 / Figure A11 MTR Corporation --- p.84 / "Figure A12 The Liu, Lit-Man Group" --- p.85 / Table A1 Summary Description of the Data --- p.86 / Bibliography --- p.91

published_or_final_version / Politics and Public Administration / Master / Master of Public Administration