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  • About
  • The Global ETD Search service is a free service for researchers to find electronic theses and dissertations. This service is provided by the Networked Digital Library of Theses and Dissertations.
    Our metadata is collected from universities around the world. If you manage a university/consortium/country archive and want to be added, details can be found on the NDLTD website.
1

The legal risks associated with trading in derivatives in a Merchant Bank

Terblanche, Janet Rene 27 June 2008 (has links)
The research defines derivatives as private contracts, with future rights and obligations imposed on all parties, used to hedge or transfer risk, which derives value from an underlying asset price or index, which asset price or index may take on various forms. The nature of derivatives is that the instruments are intended to be risk management tools. The objectives of derivatives is either to hedge a risk, or to speculate. Derivatives may be classified by the manner in which they are traded, either over the counter (OTC) or on exchange. Alternatively, derivatives may be classified on the basis of structure and mechanisms, i.e. forwards, futures, options or swaps. Risk and risk management are defined in the third chapter with the focus on merchant banking. The nature of risk is that it is inherent in all activities. The nature of risk management is that it aims to ensure that the risks faced by the merchant bank are managed on a daily basis. The objective of risk management is to ensure that losses are minimised and the appropriate level of risk is taken in order to maximise profits. Risk may be classified as operational, operations, market, systemic, credit and legal risk. A comprehensive discussion of credit risk is presented, as it pertains to the legal risk in derivatives in a merchant bank. This includes insolvency, set-off, netting, credit derivatives and collateral. Legal risk is defined as the risk of loss primarily caused by legal unenforceability (i.e. a defective transaction, for instance a contract), legal liability (i.e. a claim) or failure to take legal steps to protect assets (e.g. intellectual property). The nature of legal risk is that it is caused by jurisdictional and other cross-border factors, inadequate documentation, the behaviour of financial institutions, a lack of internal controls, financial innovation or the inherent uncertainty of the law. The objectives of legal risk management in derivatives is to avoid the direct and indirect costs associated with legal risk materialising. This includes reputational damage. Derivatives attract specific legal risks due to the complexity of the instruments as well as the constant innovation in the market. There remains some legal uncertainty regarding derivatives in terms of gaming, wagering and gambling, as well as insurance. The relationship between risk and derivatives is that due to the complexity and constant innovation associated with derivatives, there are some inherent risks to trading in derivatives. It is therefore important to ensure that there is a vested risk management culture in the derivatives trading environment. Chapter four gives an overview of derivatives legislation in foreign jurisdictions and in South Africa. The contractual and documentation issues are discussed with reference to ad hoc agreements, master agreements and ISDA agreements. The practical implementation issues of master agreements and ad hoc agreements are also discussed. The recommendations are that legal risk management be approached in a similar manner to credit, market and other risk disciplines. A legal risk management policy needs to be developed and implemented. The second recommendation is that a derivative to manage the legal risk in derivatives be developed. / Prof. P. Sutherland Dr. C. van der Bijl
2

Decision support system to manage investment risk of grain farmers in South Africa

Geyser, J.M. (Judith Mariette) 24 July 2006 (has links)
Please read the abstract in the section 00front of this document / Thesis (DCom (Financial Management))--University of Pretoria, 2006. / Financial Management / unrestricted
3

Metodologia de identificação de perigos e avaliação de riscos ocupacionais. / Occupational risk identification and evaluation methodology.

Lapa, Reginaldo Pedreira 28 April 2006 (has links)
Este trabalho tem como objetivo o desenvolvimento de uma metodologia para a identificação de perigos e avaliação de riscos que possa ser aplicável a qualquer natureza de empresa e em qualquer dimensão, alinhado com os requisitos normativos do principal modelo de gerenciamento de segurança e saúde ocupacional adotado no mundo na atualidade – OHSAS 18001:1999 e que dele seja possível extrair um indicador de desempenho pró-ativo para avaliar o risco ocupacional na rotina organizacional. O que motiva o desenvolvimento dessa metodologia é a dificuldade observada nas empresas de conciliar e prover suas equipes, gerentes e empregados de um instrumento efetivo de gerenciamento de riscos que possa ser utilizado em todos os níveis atendendo simultaneamente aos requisitos de certificação em gestão de segurança e saúde ocupacional. Seu desenvolvimento foi conduzido com base na experiência de implantação de modelos de gestão, na bibliografia consultada e no uso de uma empresa piloto como meio de validação da mesma, além de outras experiências de implantação da metodologia em empresas de diferentes portes e atividade econômica, em paralelo à ação piloto. As experiências de implantação nas diversas empresas foram úteis na consolidação e na melhoria da metodologia, validação como um instrumento eficaz no gerenciamento de riscos ocupacionais, facilidade de integração e alinhamento com outras práticas da gestão ocupacional e geração de um indicador de desempenho que monitora o gerenciamento de riscos ocupacionais em todos os níveis de decisão da organização. / This paper presents a risk assessment methodology development applied to any company size and core business and aligned to OHSAS 18001:1999 normative requests which has being preferentially adopted worldwide as reference to occupational health and safety management. Also the development comprises a proactive risk performance indicator to be used on daily management routine in all organization levels. The risk assessment methodology development is motivated by the difficulties observed on companies which are adopting OHSAS 18001:1999 by providing an effective and easy use tool for occupational risk management to their personnel and managers in all levels. This development is based on acquired experience on implementing and improving management tool systems and models in different companies in Brazil, on consulted bibliography and also by adopting a large company in Brazil as a laboratory to validate the set up approaches to the main concepts as well as its application to other different companies as a mean of consolidate those concepts approaches. Those implementation experiences were useful to consolidate and improve the proposal methodology and to prove that its use as built is an easy, simple, strong and effective occupational risk management tool aligned and integrated to other management practices and organization needs. Beyond that, the methodology does provide to build an occupational risk performance indicator easy to obtain and to use on daily management routine in all organization levels.
4

Metodologia de identificação de perigos e avaliação de riscos ocupacionais. / Occupational risk identification and evaluation methodology.

Reginaldo Pedreira Lapa 28 April 2006 (has links)
Este trabalho tem como objetivo o desenvolvimento de uma metodologia para a identificação de perigos e avaliação de riscos que possa ser aplicável a qualquer natureza de empresa e em qualquer dimensão, alinhado com os requisitos normativos do principal modelo de gerenciamento de segurança e saúde ocupacional adotado no mundo na atualidade – OHSAS 18001:1999 e que dele seja possível extrair um indicador de desempenho pró-ativo para avaliar o risco ocupacional na rotina organizacional. O que motiva o desenvolvimento dessa metodologia é a dificuldade observada nas empresas de conciliar e prover suas equipes, gerentes e empregados de um instrumento efetivo de gerenciamento de riscos que possa ser utilizado em todos os níveis atendendo simultaneamente aos requisitos de certificação em gestão de segurança e saúde ocupacional. Seu desenvolvimento foi conduzido com base na experiência de implantação de modelos de gestão, na bibliografia consultada e no uso de uma empresa piloto como meio de validação da mesma, além de outras experiências de implantação da metodologia em empresas de diferentes portes e atividade econômica, em paralelo à ação piloto. As experiências de implantação nas diversas empresas foram úteis na consolidação e na melhoria da metodologia, validação como um instrumento eficaz no gerenciamento de riscos ocupacionais, facilidade de integração e alinhamento com outras práticas da gestão ocupacional e geração de um indicador de desempenho que monitora o gerenciamento de riscos ocupacionais em todos os níveis de decisão da organização. / This paper presents a risk assessment methodology development applied to any company size and core business and aligned to OHSAS 18001:1999 normative requests which has being preferentially adopted worldwide as reference to occupational health and safety management. Also the development comprises a proactive risk performance indicator to be used on daily management routine in all organization levels. The risk assessment methodology development is motivated by the difficulties observed on companies which are adopting OHSAS 18001:1999 by providing an effective and easy use tool for occupational risk management to their personnel and managers in all levels. This development is based on acquired experience on implementing and improving management tool systems and models in different companies in Brazil, on consulted bibliography and also by adopting a large company in Brazil as a laboratory to validate the set up approaches to the main concepts as well as its application to other different companies as a mean of consolidate those concepts approaches. Those implementation experiences were useful to consolidate and improve the proposal methodology and to prove that its use as built is an easy, simple, strong and effective occupational risk management tool aligned and integrated to other management practices and organization needs. Beyond that, the methodology does provide to build an occupational risk performance indicator easy to obtain and to use on daily management routine in all organization levels.
5

Analýza a hodnocení rizik stavebního díla potravinářského provozu od projektu po realizaci / Risk analysis and evaluation of a construction work in food industry operation from design to implementation

Labounek, Martin January 2015 (has links)
This thesis is dealing with analysis and evaluation of quantitative, environmental, safety risks and dangerous, application of suitable methods to the concrete building work, to the concrete conditions of the project, surroundings of the building site, construction contractor's firms and implementation building site into operation. From ČSN EN 31010 Risks management – Risks assessment techniques were selected for work tools – Analysis of potential defects and their consequences (FMEA), Universal Matrix of Risk Analysis (UMRA), Hazard Analysis and Critical Control Points (HACCP), Pareto diagram. The aim of this thesis is to analyze and assess the quality, environmental and safety risks of selected construction process and conditions established and integrated management system to handle simple tools for the management and elimination.
6

A risk and cost management model for changes during the construction phase of a civil engineering project

Schoonwinkel, Sune 03 1900 (has links)
Thesis (MScEng)--Stellenbosch University, 2012 / ENGLISH ABSTRACT: The construction project environment is dynamic and prone to change. Project change can be defined as any event that alters a project’s original scope, execution time or the cost of the works. Improper management of the projects’ changes could therefore adversely impact on the actual cost and duration of the project which may lead to project cost overruns and even claims and legal disputes. During the construction phase of a project, change affects every aspect of productivity – the planned schedules and deadlines, work methodology, resource procurement, as well as the budget and thus it could prevent the achievement of the project objectives. A project manager, therefore, wants to limit the number of change to a project. However, during a construction project there may be quite a number of changes. Managing a construction project is difficult, in that all the relevant information is rarely available at the initial stage of a project to enable one to plan and design the project accurately and make the best possible decisions. As information becomes available during the construction phase of the project, it can lead to various changes. Design errors or variations, unforeseen site conditions and vagueness in the original scope are but some of the reasons for change. No matter the size of the change, each alteration to the works has a cost, time and risk implication. Due to tight time constraints on most projects, every change requires quick, robust decision making, so as not to delay the project, which therefore results in changes not being comprehensively evaluated. Decisions are often made on intuition or experience, without an assessment of the risks involved or the influence on the cost of the project and without applying well-known project management techniques. The aim of this research was to determine what a change management process for a civil engineering project should look like, specifically the cost and risk management of changes. It investigated the current state of change management of construction projects in practice, by doing a case study and various interviews with project managers. Based on the findings of the research and the industry requirements, a model was developed for managing the costs and risks of changes. The Model was validated by means of an expert evaluation review. The change management model developed as part of this thesis can be used to analyse the cost, time and quality impact of the change, and to do a detailed risk assessment. The Model also reviews the proposed change in order to determine whether the change is necessary. It is a generic tool that can be used by engineers and their project team to enhance the management of changes that happens during the construction phase of a project for any civil construction project. / AFRIKAANSE OPSOMMING: Die konstruksie omgewing is dinamies en geneig tot verandering. Projek verandering kan gedefinieer word as enige gebeurtenis wat die projek se aanvanklike omvang verander of lei to verlenging van die tydsduur of vermeerdering van die koste van die projek. Wanbestuur van projek veranderinge kan ‘n nadelige impak op die projek kostes en tydsduur hê wat kan lei tot oorskryding van die begroting en selfs eise en regsdispute. Verandering kan elke aspek van produktiwiteit tydens die konstruksie fase van ‘n projek affekteer. Dit affekteer die beplande skedules, spertye, werk metodologie, hulpbron bestuur, asook die begroting. Dus kan dit verhoed dat die projek doelwitte bereik word. ‘n Projek bestuurder wil daarom die hoeveelheid en omvang van veranderinge beperk. ‘n Konstruksie projek kan egter heelwat veranderinge ondergaan. Om ‘n konstruksie projek te bestuur is moeilik aangesien al die relevante informasie selde beskikbaar is tydens die begin fases van ‘n projek wat nodig is om die beplanning en ontwerp van die projek so akuraat moontlik te doen en die regte besluite te neem. Soos informasie beskikbaar raak tydens die konstruksie fase van die projek, lei dit dikwels to verskeie veranderinge. Ontwerp foute of variasies, onvoorsiene terrein toestande en onduidelikheid oor die projek omvang is van die redes vir veranderinge. Ongeag die grootte van die verandering het elke wysiging tot die projek ‘n koste, tyd en riskiko implikasie. As gevolge van tydsbeperkinge vereis elke verandering vinnige en kragtige besluitneming om sodoende nie die projek te vertraag nie. Dit lei daartoe dat veranderinge nie omvattend geëvalueer word nie. Besluite word dikwels geneem op intuïsie of ervaring, sonder 'n beoordeling van die risiko's wat betrokke is of die bepaling van die invloed op die koste van die projek, en sonder die toepassing van erkende projek bestuur tegnieke. Die doel van hierdie navorsing was om vas te stel hoe 'n verandering bestuur proses moet lyk vir ‘n siviele ingenieurswese projek, spesifiek die koste en risiko bestuur van die verandering. Die huidige stand van verandering bestuur van konstruksie projekte in die praktyk is ondersoek deur middel van 'n gevallestudie en verskeie onderhoude met die projek bestuurders. 'n Model is ontwikkel vir die bestuur van die koste en risiko's van veranderinge gebaseer op die bevindinge van die navorsing en ook die vereistes van die bedryf. Die model is getoets met behulp van evaluering deur professionele ingenieurs. Die verandering bestuur model wat ontwikkel is as deel van hierdie proefskrif kan gebruik word om die koste, tyd en kwaliteit impak van ‘n verandering te analiseer, asook om 'n omvattende risiko assessering te doen. Die model hersien ook die voorgestelde verandering om te bepaal of die verandering nodig is. Dit is 'n generiese hulpmiddel wat deur ingenieurs en hul projek span gebruik kan word vir die bestuur van die veranderinge wat tydens die konstruksie fase van siviele projekte plaasvind.
7

Exploring Perceptions of the Potential of Agricultural Insurance for Crop Risks Management Among Smallholder Farmers in Northern Ghana

Sumani, John Bosco Baguri 20 June 2018 (has links)
No description available.
8

Avaliação das práticas adotadas na preservação de cargas ante a ameaça de roubo no modal rodoviário: o caso Martins

Nunes, élder Ferreira 29 April 2008 (has links)
The present project has the Fleets Management as the concentration area and it is inserted in the line of Market research and Supply Chain specifically, in the moment of physical distribution of goods. It has as purpose the evaluation of the adopted practices for the preservation of loads, in the case of the cargo theft, in the modal road. So that, a research is made in the existent literature in order to obtain a better understanding concerning the physical administration of fleets, identifying the characteristics of the cargo theft in Brazil and, still, verifying the protection actions which are recommended, by the specialists, for the treatment of that threat in the road transport. Then, based on a case study done in the wholesaler distributor Martins Comércio & Serviços de Distribuição S.A, settled in the city of Uberlândia-MG, the statistical data of the risks management section is analyzed. The data is compared with the information taken from the literature and the similarities are verified. Then, semi-structured interviews with managers of the study area are applied to identify the real processes and tools used for the treatment of the risk and the obtained results with such practices. Based on this material, the conclusion is that, even though the cargo theft is an adverse threat to the internal controls of the company, the risks management can reduce the number of occurrences and diverted values, and is also an efficient contribution to improve the results operated by the logistics. / O presente trabalho tem a Gestão de Frotas como área de concentração e encontra-se inserido na linha de pesquisa Mercado e Cadeia de Abastecimento especificamente, no momento da distribuição física de mercadorias. Tem como propósito a avaliação das práticas adotadas para a preservação de cargas, ante a ameaça de roubo, no modal rodoviário. Para tanto, é feita uma pesquisa na literatura existente com a finalidade de se obter um melhor entendimento acerca da gestão de frotas na distribuição física, identificando as características do roubo de cargas no Brasil e, ainda, verificando as ações de proteção que são recomendadas, por especialistas, para o tratamento dessa ameaça no transporte rodoviário. Depois, por meio de um estudo de caso realizado no atacadista distribuidor Martins Comércio e Serviços de Distribuição S.A, da cidade de Uberlândia-MG, analisam-se os dados estatísticos do setor de Gestão de Riscos, confrontando-os com os colhidos na literatura e verificando as similaridades. Ainda, por meio da aplicação de entrevistas semi-estruturadas nos gestores da área em estudo, identificam-se os processos e as ferramentas efetivamente utilizadas para o tratamento do risco e quais os resultados que foram obtidos com tais práticas. Chegou-se à conclusão de que, mesmo sendo o roubo de cargas uma ameaça adversa aos controles internos da empresa, é possível, mediante a prática do gerenciamento de riscos, alcançar uma redução no número de ocorrências e de valores subtraídos e, de tal forma, contribuir para a melhoria dos resultados obtidos pela logística. / Mestre em Administração
9

Inovação em produtos, comercialização e contratação de energia eletrica para usuarios finais / Products, trading and contracting innovations in electricity for end customers

Barbosa, Carlos David Franco, 1956- 13 August 2018 (has links)
Orientador: Christiano Lyra Filho / Dissertação (mestrado) - Universidade Estadual de Campinas, Faculdade de Engenharia Eletrica e de Computação / Made available in DSpace on 2018-08-13T03:24:49Z (GMT). No. of bitstreams: 1 Barbosa_CarlosDavidFranco_M.pdf: 969500 bytes, checksum: a47dff2572f23168bd1cf0f8c5152ea8 (MD5) Previous issue date: 2008 / Resumo: A reestruturação do setor de eletricidade ocorrida a partir do final da década de 80, iniciada na Inglaterra, tem permitido estudos e implementações de estratégias de preços e de uso de instrumentos financeiros já existentes em mercados de commodities e financeiros, adaptados às características do setor de eletricidade com a contratação direta para os usuários finais. Este trabalho faz uma revisão da experiência internacional recente, das possibilidades de implementação de novos produtos e contratos, bem como apresenta uma revisão de técnicas para gestores de riscos, e como eles são identificados, medidos e gerenciados em mercados reestruturados de eletricidade. O trabalho é orientado principalmente para o estudo de consumidores livres. Neste sentido, descreve o estudo de caso de contratação direta dos primeiros consumidores industriais de energia elétrica do Brasil, composto de duas partes: a) a primeira parte descreve a pesquisa de campo com as primeiras empresas que optaram pela modalidade de consumidor livre e os resultados da experiência; b) na segunda parte são propostas novas possibilidades de contratação e realiza-se a simulação de um contrato com uma parcela contratada a preços fixos e outra parcela contratada com preço de mercado à vista ("spot"); também são estudados os efeitos do uso de opções. / Abstract: The Brazilian electricity sector re-structuring, started during 80's, after England start, enable price strategies studies and implements- as well as use of financial tools used in financial and commodities markets adapted to electricity sector characteristics with direct contracting to end customers. This work does a revision to recent international experience, implementation possibilities for new products and contracts, as well as presents a technical revision for risk managers and how they can be identified, measured and managed on restructured electricity markets. This work is oriented mainly for the study of "free customers", that contract directly their electricity. In this sense, describes the case study of first Brazilian industrial electricity direct contracting, new contracts possibilities are proposed and it is done a contract simulation with part contracted at fixed prices and another part contracted with spot market prices; Also are studied options effects . / Mestrado / Energia Eletrica / Mestre em Engenharia Elétrica
10

Estudo sobre a gestão qualitativa do risco operacional como prática de governança corporativa em instituições financeiras no Brasil

Lima, Luiz Fernando Fabbrine 20 June 2007 (has links)
Made available in DSpace on 2016-04-25T18:40:23Z (GMT). No. of bitstreams: 1 Luiz Fernando Fabbrine Lima.pdf: 1119544 bytes, checksum: 2fc6e3d62d479c91ff20df0ef58db12e (MD5) Previous issue date: 2007-06-20 / The corporate governance proposes guidelines for qthe company management to be put into practice from the high administration to the lowest hierarchical levels through a group of devices, which includes the operational risks management. Such an argument has got an increasing importance in the last years because of the constant losses due to the lack of adequate controls on operational events in financial institutions mainly. Therefore, the mainly codes of corporate governance propose guidelines for the operational risk management. Otherwise we verify some difficulties on the application of these practices of qualitative management of risks due to the lack of successful publicizing methods (benchmark). The problem is finding how to accomplish the operational risk management in order to decrease the losses. This study investigates the qualitative practices of operational risk management (Basel II), which were adopted in financial institutions in Brazil, as well all the main advantages and difficulties found by the managers or improvement to be done. That is why it has been done an exploring research to analyze six financial institutions. The instruments of the present research consisted on the accomplishment of some interviews, the application of questionnaires as well as the analysis of internal documents. The results show that the foreigner institutions settled in Brazil are on an advanced stage in comparison to the national institutions when it refers to the application of auto-evaluating practices of the risks and controls as well as indicators monitoring of operational risks. Among the contributions carried by these practices there are the prioritization and the improvement those critical fragile control processes. There is also the necessity to warrant more independence to the area of operational risks in relation to the other areas of the institution in order to reduce fortuitous interest conflicts and permitting an adequate operational risk management in the financial institutions / As práticas de governança corporativa propõem diretrizes de gestão empresarial a serem praticadas desde a alta administração até os níveis hierárquicos mais baixos, por meio de um conjunto de mecanismos no qual se inclui a gestão dos riscos operacionais. O tema adquiriu importância crescente nos últimos anos, em virtude das constantes perdas ocasionadas por falta de controles adequados em eventos operacionais, principalmente em instituições financeiras. Dessa forma, os principais códigos de governança propõem diretrizes para a gestão dos riscos operacionais. Porém, verificam-se dificuldades na aplicação de práticas de gestão qualitativa dos riscos operacionais, em virtude da falta de divulgação de métodos bem sucedidos (benchmark). A questão é descobrir como efetuar a gestão do risco operacional a fim de minimizar as perdas. Este estudo investiga as práticas qualitativas de gestão de risco operacional (Basiléia II) adotadas em instituições financeiras no Brasil, bem como os principais benefícios e dificuldades encontradas pelos gestores e possíveis melhorias a serem implementadas. Para tanto, foi realizada uma pesquisa exploratória e foram estudadas seis instituições financeiras, tendo como instrumento de pesquisa a realização de entrevistas, a aplicação de questionários e a análise de documentos e relatórios internos. Os resultados mostram que as instituições estrangeiras no Brasil estão em um estágio mais avançado em relação às instituições nacionais na aplicação de práticas de auto-avaliação de riscos e controles e no monitoramento de indicadores de riscos operacionais. Dentre as principais contribuições trazidas por essas práticas têm-se a priorização e o aprimoramento de processos críticos com controles frágeis. Porém, há a necessidade de garantir uma maior independência da área de riscos operacionais, em relação às demais áreas da instituição, a fim de minimizar possíveis conflitos de interesses e permitir uma adequada gestão do risco operacional no cotidiano das instituições financeiras

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