by Sum Yick Fung, Esmond, Sum Kam Wing, Ivan, So Kwan Cheung. / Bibliography: leaves 104-105 / Thesis (M.B.A.)--Chinese University of Hong Kong, 1985

by Kwok-tai Wan. / Bibliography: leaves 133-138 / Thesis (M.Ph.)--Chinese University of Hong Kong, 1985

by Cheng Ping Kuen, Franco [and] Chin Nai Yun, William. / Bibliography : leaf 85 / Thesis (M.B.A.)--Chinese University of Hong Kong, 1984

by Wong Yick-kam. / Bibliography: leaves 62-63 / Thesis (M.B.A.)--Chinese University of Hong Kong, 1984

by Chan Wai-yip, Wong Wai-kwan. / Abstract also in Chinese / Bibliography: leaves 92-93 / Thesis (M.B.A.)--Chinese University of Hong Kong, 1983

by Chan Yiu Keung, Victor. / Thesis (M.B.A.)--Chinese University of Hong Kong, 1990. / Bibliography: leaves 77-78. / TABLE OF CONTENTS --- p.i / LIST OF CHARTS/TABLES --- p.ii / LIST OF APPENDIX --- p.iii / CHAPTERS / Chapter 1 --- INTRODUCTION --- p.1-5 / Chapter 2 --- HISTORY OF THE HONG KONG DOMESTIC CAPITAL MARKET --- p.6-13 / Chapter 3 --- CAPITAL MARKET INSTRUMENTS --- p.14-23 / Chapter 4 --- HOW THE MARKET HAS STARTED TO BOOM --- p.24-32 / Chapter 5 --- DIFFICULTIES IN STEPPING FURTHER --- p.33-39 / Chapter 6 --- RECENT DEVELOPMENT --- p.40-42 / Chapter 7 --- DEMAND FOR CAPITAL MARKET INSTRUMENTS 一 INVESTORS' RISK --- p.43-52 / Chapter 8 --- DEMAND FOR CAPITAL MARKET INSTRUMENTS - INVESTORS' RETURN --- p.53-56 / Chapter 9 --- SUPPLY OF HONG KONG DOLLAR CAPITAL MARKET INSTRUMENTS --- p.57-65 / Chapter 10 --- CONCLUSION --- p.66-69 / FOOTNOTES --- p.70-72 / APPENDIX --- p.73-76 / BIBLIOGRAPHY --- p.77-78

Leung Sze Wan. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2000. / Includes bibliographical references (leaves 62-64). / Abstracts in English and Chinese. / Abstract --- p.ii / Acknowledgments --- p.iv / Table of Contents --- p.v / Chapter Chapter 1 --- Introduction --- p.1 / Chapter Chapter 2 --- A review of the related literature --- p.7 / Chapter Chapter 3 --- The data --- p.12 / Chapter Chapter 4 --- Research methodology --- p.31 / Chapter Chapter 5 --- Determinants of peg duration --- p.34 / Chapter Chapter 6 --- Main results --- p.41 / Chapter Chapter 7 --- Predicted probabilities of devaluation --- p.51 / Chapter Chapter 8 --- Results from an alternative exchange rate peg definition --- p.54 / Chapter Chapter 9 --- Conclusion --- p.59 / Bibliography --- p.62 / Appendix --- p.65

Written in response to a current gap in academic and industry based literature, this thesis was written on the topic of Trade Based Money Laundering (TBML) and risk assessment, within the banking context. Despite the increased use of TBML, most academic descriptions of money laundering have used the cash based model of placement and integration of large cash deposits acquired from criminal activity, which are then merged into legitimate pre-existing funds. However, there are a significant number of examples to show that cash transferred into goods and then shipped to other countries can be easier to move and less conspicuous or traceable than simple cash based deposits. One of the main challenges for detecting shipping based laundering techniques is that they involve a number of agencies sharing data and information, in order to catch the criminals. Simple banking checks may not always elicit the required information without verification from either customs or law enforcement agencies. The research sought to identify the current challenges and issues facing risk assessment professionals in the banking sector and to identify gaps in the current systems being used. The data collected included interviews and survey information taken from professionals working on AML risk assessment in banking and financial institutions from across the globe. In addition to the description of different money laundering schemes, much of the current academic discussion on money laundering in banking has focused on the regulation requirements for financial institutions to stop money laundering activity, but there has been little empirical guidance on how regulation can be adapted and implemented at the individual banking level. This research accessed a number of legal cases available in the public domain, which were analysed to see how and where some of the larger banks have failed to implement current anti-money laundering controls and to consider how this could impact on the detection of TBML activity. This research uses an Agency theory model to look at the pressures banks are under to manage client’s accounts efficiently, versus the requirements of outside regulation to undertake extensive checks on business transactions and accounts. Finally, the researcher proposed a simple risk matrix approach that developed the current thinking of client behaviour and transaction monitoring risk analysis associated with cash based laundering, to develop a four-point risk model that added geography and third party behaviour, to account for shipping and trade based laundering activity.

Magister Legum - LLM / Money laundering (hereafter ML) is a multidisciplinary topic which has become important since the late 1980s. The term ‘laundering’ literally means ‘washing’ or ‘removing dirt’. It has been defined as the conversion of criminal income into assets that cannot be traced back to the underlying crime. Criminals use ML as a way of keeping control over the proceeds of crime and to provide, ultimately, a cover for their income and wealth. ML occurs every time any transaction takes place, regardless of whether it involves any form of property or benefit, whether tangible or not tangible, which is derived from criminal activity. ML is regulated at the global, regional and national levels. To combat ML and other financial crimes, Malawi enacted the Financial Crimes Act (hereafter FCA). The FCA establishes the Financial Intelligence Authority (hereafter FIA) as an institution whose objectives include collecting financial intelligence regarding suspicious transactions.

A lo largo de la historia de la humanidad, el dinero ha tomado distintas formas, valores y alcances geopolíticos, ha llegado a situarse como la principal herramienta para engrandecer o destruir naciones. Hoy en día, muchas de las transacciones ya no son, necesariamente, en efectivo; una gran mayoría realiza pagos con dinero electrónico, a través de los aplicativos; y existe también otro grupo de usuarios que utiliza las criptomonedas para hacer sus operaciones. Estas últimas han llamado poderosamente la atención de académicos, financistas y público en general, pues representa un fenómeno de rápido crecimiento. Las criptomonedas, entonces, han respondido a la demanda insatisfecha de usuarios que encuentran grandes barreras en canales tradicionales como, por ejemplo, poca cobertura de las entidades financieras, demoras en las transacciones internacionales, filtración de información personal, exposición a hurtos, entre otros. Por estos motivos, las personas están dispuestas a aceptar nuevas formas de dinero que incorporen tecnología en su funcionamiento y uso, y que acabe con las barreras que presenta el sistema financiero conservador. Sin embargo, aparentemente, para algunos autores, no todas son ventajas en las criptomonedas, sino que presentan algunas características adversas que se califican como nocivas por determinadas fuentes, los bancos centrales principalmente. Esto se ha convertido en tema de discusión e investigación por parte de los gobiernos, que buscan la manera de regular este dinero intangible sobre el cual actualmente no tienen control. En este Paper se analiza, de acuerdo a lo expresado por distintos autores, si las criptomonedas deben ser consideradas dinero. / As has happened throughout the history of humanity, money has taken different forms, values and geopolitical domains, becoming the main tool to magnify or destroy nations. Many of the daily transactions are no longer necessarily in cash; a great majority makes payments with electronic money through the applications; and there is also another group of people who use cryptocurrencies to do their financial operations. The latter have attracted the attention of academics, financiers and the audiences in a powerful way, as it represents a fast growth phenomenon. The cryptocurrencies have responded to the dissatisfied users who find great barriers in traditional channels such as: poor coverage of financial institutions, delays in international transactions, filtering of personal information, exposure to thefts, among others. For these reasons, people are willing to accept new forms of money that incorporate technology in its operation and use, and to break down the barriers that the conservative financial systems has. But, apparently for some authors, not all are advantages when it comes to cryptocurrencies, these might have some adverse characteristics that are qualified as harmful by certain sources, mainly Central Banks. This has become a topic of discussion and research by governments, who seek ways to regulate this intangible money that they currently have no control over. In this Paper we analyze, according to what different authors has been expressed about whether cryptocurrencies should be considered money. / Trabajo de Suficiencia Profesional