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
| Identifer | oai:union.ndltd.org:cuhk.edu.hk/oai:cuhk-dr:cuhk_321321 |
| Date | January 1973 |
| Contributors | Chan, Ping-chung., Chinese University of Hong Kong Graduate School. Lingnan Institute of Business Administration. |
| Publisher | Chinese University of Hong Kong |
| Source Sets | The Chinese University of Hong Kong |
| Language | English |
| Detected Language | English |
| Type | Text, bibliography |
| Format | print, v, 106, 11 leaves ; 28 cm. |
| Coverage | China, Hong Kong |
| Rights | Use of this resource is governed by the terms and conditions of the Creative Commons “Attribution-NonCommercial-NoDerivatives 4.0 International” License (http://creativecommons.org/licenses/by-nc-nd/4.0/) |
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