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Academic literature on the topic 'Investor Protection'

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Published: 4 June 2021
Last updated: 7 February 2024

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Journal articles on the topic "Investor Protection"

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Giannetti, Mariassunta, and Yrjö Koskinen. "Investor Protection, Equity Returns, and Financial Globalization." Journal of Financial and Quantitative Analysis 45, no. 1 (November 26, 2009): 135–68. http://dx.doi.org/10.1017/s0022109009990524.

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AbstractWe study the effects of investor protection on stock returns and portfolio allocation decisions. In our theoretical model, if investor protection is weak, wealthy investors have an incentive to become controlling shareholders. In equilibrium, the stock price reflects the demand from both controlling shareholders and portfolio investors. Due to the high demand from controlling shareholders, the price of weak corporate governance stocks is not low enough to fully discount the extraction of private benefits. Thus, stocks have lower expected returns when investor protection is weak. This has implications for domestic and foreign investors’ stockholdings. In particular, we show that portfolio investors’ participation in the domestic stock market and home equity bias are positively related to investor protection and provide original evidence in their support.
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Moloney, Niamh. "The Investor Model Underlying the EU’s Investor Protection Regime: Consumers or Investors?" European Business Organization Law Review 13, no. 2 (June 2012): 169–93. http://dx.doi.org/10.1017/s1566752912000134.

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Santoso, Eko Budi. "ANALISIS PENGARUH TATA KELOLA PERUSAHAAN YANG BAIK TERHADAP RASIO PEMBAYARAN DIVIDEN." Jurnal Riset Akuntansi dan Keuangan 3, no. 1 (February 1, 2007): 1. http://dx.doi.org/10.21460/jrak.2007.31.129.

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Investor protection in highty concentrated ownership as in Indonesia is a crucial problem. Expropriation tends to be high in lower investor protection because controlling shareholders can implement policies that benefit themselves at the expense of outside investors. In a high expropriation, outside investors will choose dividends rather than retained earnings.This paper examines good corporate governance as a solution.for a good investor protection in Indonesia. Using a sample of 245 firms for observdion period of 2001-200j, the results slows that stronger investor ptotection related with lower dividend payout ratio.Kqtwords : Good Corporate Governance, Dividend Payout Ratio,Investor Protection, Concentrated Ownership.
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Dong, Sihan. "Impacts of the China Securities Investor Services Center's Shareholding Exercise on Audit Fees." BCP Business & Management 19 (May 31, 2022): 162–80. http://dx.doi.org/10.54691/bcpbm.v19i.739.

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Protecting the legitimate rights and interests of small and medium investors is the basis of the sustainable and healthy development of the capital market. The shareholding exercise pilot policy of China Securities Investor Services Center is a major innovation in the protection mechanism of investors' rights and interests. Taking A-share listed companies from 2013 to 2017 as the sample, this paper constructs a difference-in-difference model (DID) to test the impacts of Investor Services Center's shareholding exercise on audit fees of listed companies. The study finds that the Investor Services Center's shareholding exercise significantly reduces the audit fees. The mechanism test results show that Investor Services Center's shareholding exercise can reduce the audit fees by restraining the level of accrued earnings management and agency costs. Further analyses show that the effect of reducing audit fees by Investor Services Center's shareholding exercise is more obvious in larger enterprises with lower proportion of independent directors. This paper enriches the research related to the protection of small and medium-sized investors, clarifies the impact mechanism of investor protection on audit fees, expands the relevant research on the influencing factors of audit fees, and provides theoretical support and suggestions for the relevant policy formulation of the China Securities Investor Services Center.
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Kim, Soonho, Hosung Jung, and Haejung Na. "Tax haven investors, firm value and investor protection." Applied Economics Letters 26, no. 19 (March 21, 2019): 1634–40. http://dx.doi.org/10.1080/13504851.2019.1591584.

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Attijani, Mohammad Solehodin. "Penyelenggara Dana Perlindungan Pemodal Bagi Investor Dalam Transaksi Saham Pada Pasar Modal." Media Iuris 2, no. 2 (August 14, 2019): 157. http://dx.doi.org/10.20473/mi.v2i2.13678.

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AbstractInvestors who want to invest in the capital market in Indonesia, which include securities in the form of shares, need to have a good knowledge of investment objects because basically all investments contain risk and there is no guarantee of getting profits. Investor protection fund operators have the main goal of forming investor protection funds to increase protection and trust that investors’ assets are safe without being worried about the inability of securities companies to fulfill their obligations. The capital market can fail due to loss of investor distrust caused by the failure or bankruptcy of securities companies, resulting in a systemic effect that can reduce the reliability of the capital market industry. Through the organizer of the protection fund investors will provide compensation claims to investors who are victims of violations and securities crimes, not from loss of personal transactions. Investors whose assets receive investor protection funds are investors who meet the requirements set by the financial services authority.Keywords : Organizers of Investor Protection Funds, Investor Compensation Claims AbstrakInvestor yang ingin berinvestasi pada pasar modal di Indonesia, yakni antara lain surat berharga berbentuk saham, perlu memiliki pengetahuan yang baik mengenai obyek investasi karena pada dasarnya semua investasi mengandung risiko dan tidak ada jaminan pasti mendapatkan keuntungan. Penyelenggara dana perlindungan pemodal mempunyai tujuan utama membentuk dana perlindungan pemodal untuk meningkatkan perlindungan dan kepercayaan bahwa aset investor aman tanpa dihinggapi rasa khawatir atas ketidakmampuan perusahaan efek dalam memenuhi kewajibannya. Pasar modal dapat mengalami kegagalan akibat hilangnya ketidakpercayaan pemodal yang disebabkan kegagalan atau kebangkrutan perusahaan efek, sehingga menimbulkan efek sistemik yang dapat menjatuhkan kridibilitas industri pasar modal. Melalui penyelenggara dana perlindungan pemodal akan memberikan klaim ganti rugi kepada investor yang menjadi korban dari pelanggaran dan kejahatan sekuritas, bukan dari kerugian transaksi pribadi. Investor yang asetnya mendapat dana perlindungan pemodal adalah investor yang memenuhi persyaratan yang telah ditentukan otoritas jasa keuangan.Kata Kunci : Penyelenggara Dana Perlindungan Pemodal, Klaim Ganti Rugi Investor
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Baláz, Vladimír. "Coupon Privatization and Investor Protection." Journal of Interdisciplinary Economics 7, no. 1 (January 1996): 3–25. http://dx.doi.org/10.1177/02601079x9600700102.

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Coupon scheme helped to privatize a major part of national assets in the Czech and Slovak republics. Investment privatization funds obtained significant part of coupon investment points and became major shareholders in these republics. This lobby has been dominated both by banks and managers of the funds. Funds compete with other lobbies in privatizing of another national assets, with no regard to small investors rights. State supervision failed and the state was not able to protect small investors. Gaps in legislation and undeveloped capital market enabled numerous violations of investors rights. New legislation is created in order to match European Community standards and to ensure a higher level of investor protection.
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Shalihah, Fithriatus, and Roos Niza Mohd Shariff. "IDENTIFYING BARRIERS TO DATA PROTECTION AND INVESTOR PRIVACY IN EQUITY CROWDFUNDING: EXPERIENCES FROM INDONESIA AND MALAYSIA." UUM Journal of Legal Studies 13, No.2 (July 21, 2022): 215–42. http://dx.doi.org/10.32890/uumjls2022.13.2.9.

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Equity crowdfunding (ECF) in Indonesia is a fundraiser organized to attract many investors to finance social and business activities on online platforms. In Malaysia, ECF reflects small businesses, especially those of entry-level businesses, raising funds from the public through websites registered with the Malaysian Securities Commission. There are differences in legal protection between Indonesia and Malaysia regarding protection of personal data and investor privacy in ECF activities. This study aimed to examine the barriers faced in data protection and privacy related to equity crowdfunding in Indonesia and Malaysia. This normative legal research focused on positive legal norms, laws, and regulations. It is found that Indonesia and Malaysia have different barriers in protecting personal data and investor privacy in ECF activities. In Indonesia, data protection and investor privacy concerning ECF refer to several legal rules for resolving issues regarding personal data. They often encounter conflicting legal rules in the application of personal data protection and investor privacy in ECF activities. Meanwhile, the protection of personal data and investor privacy on ECF activities has been specifically regulated in the Personal Data Protection Act (PDPA) 2010 in Malaysia. Despite the rules regarding the protection of investor data, cases of personal data theft in Malaysia are high as compared to Indonesia. This is due to the lack of legal awareness for the ECF platform organizers in implementing the provisions set out in the PDPA 2010.
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Abubakar, Lastuti, and Tri Handayani. "Investor Protection Through Exchange Transaction Settlement Guarantee And Investor Protection Fund." Trunojoyo Law Review 1, no. 1 (February 5, 2019): 46–60. http://dx.doi.org/10.21107/tlr.v1i1.5256.

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Akron, Sagi, and Taufique Samdani. "Investor protection and institutional investors’ incentive for information production." Journal of Financial Stability 30 (June 2017): 1–15. http://dx.doi.org/10.1016/j.jfs.2017.03.001.

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Dissertations / Theses on the topic "Investor Protection"

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Rêgo, Caio Vieira. "Investor protection and constraints relief." reponame:Repositório Institucional do FGV, 2016. http://hdl.handle.net/10438/17841.

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Submitted by caio rego (caiovr@gmail.com) on 2017-02-06T22:50:34Z No. of bitstreams: 1 DissertaçãoCaioRego.pdf: 663195 bytes, checksum: bcc4ad3cf583380984dbf0d0b5671666 (MD5)
Rejected by Pamela Beltran Tonsa (pamela.tonsa@fgv.br), reason: Bom dia Caio, Para que possamos aprovar seu trabalho é necessário alguns ajustes conforme norma ABNT/APA. * Seu titulo esta diferente da ATA, caso realmente exista essa alteração é preciso o professor orientador vir até a secretaria para fazer a alteração no verso da ATA com o titulo atual. Caso contrário não poderei aprovar. (INVESTOR PROTECTION AND CONSTRAINTS RELIEF) * Verificar a segunda folha, pois seu nome esta no rodapé da pagina. * Na pagina onde tem a ficha catalográfica, não tem escrita abaixo da caixa. * Conforme a norma é necessário ter AGRADECIMENTO, ABSTRACT E RESUMO - palavras em letra MAIÚSCULA ( no seu caso nesta ordem por ser um trabalho em inglês ) Após os ajustes você deve submete-lo novamente para analise e aprovação. Obs.: Mandarei um modelo em seu e-mail para visualização. Qualquer duvida estamos a disposição, Pâmela Tonsa 3799-7852 on 2017-02-07T10:24:20Z (GMT)
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Under financial constraints, firms are kept from following first-best policies. It is in the best interests of the regulators to diminish this inefficiencies as firms play such a important roles in the economy as generating employment and contributing to the GDP. One of the channels through which regulation may interfere with firms funding availability is by protecting investors. This research assesses the relationship between investor protection and firms’ financial constraints. I split some of the most common measures of investor protection among three classes: creditor protection, minority protection and external investor protection. This division is relevant to screen the importance of a given class to alleviate the constraints: constrained firms are likely to share some characteristics that make them more akin to rely on given funding source, for example: firms facing asymmetric information problems are more suitable to debt financing. The cash-flow sensitivity of cash is used as a proxy for financial constraints. I construct cash saving models based on a sample of 27471 firms in 393 industries (3 digit-SIC), from 2001 to 2015. The models are fitted in two groups: for firms more likely to be constrained, and for firms less likely. To classify the firms between this two groups I rely on the Size and Age index, and on switching regressions with unknown separation points. The results points that creditor protection is related to lower cash-flow sensitivities of cash for the constrained firms, while external investor protection are related to more prevalent constraints. Minority protection present a negative interaction with the cash-sensitivity of cash in the panel model (indicating constraints relief) but positive coefficient relative to the switching regression. For the unconstrained batch, however, the results are mixed for the creditor protection measure, while external investor protection always diminish the firms’ propensity to save cash.
Sob restrição financeira, as firmas se distanciam de suas políticas ótimas. É do interesse dos reguladores diminuir as essas ineficiências pois as empresas desempenham funções importantes como contribuir para o PIB e gerar empregos. Uma das formas com que a regulação pode contribuir com a disponibilidade de financiamento para as companhias é estipulando leis que protegem seus investidores. Essa pesquisa investiga a relação entre proteção ao investidor e a restrição financeiro no meio corporativo. Nela, eu divido as leis que protegem os investidores em três tipos: proteção ao credor, ao acionista e ao investidor externo. A importância dessa divisão se dá por permitir identificar o efeito relativo de uma certa categoria de proteção em aliviar restrições financeiras: firmas restritas possuem características que podem torná-las mais suscetíveis a se financiar por certa forma de financiamento, por exemplo: firmas enfrentando assimetria de informação têm no endividamento sua forma de financiamento mais adequada. Para identificar restrição financeira eu me apoio na sensibilidade do caixa ao fluxo de caixa. Eu construo modelos de formação de caixa baseados em uma amostra de 27471 firmas em 393 industrias (SIC de 3 dígitos). A amostra compreende os anos entre 2000 e 2016. Os modelos são ajustados para 2 grupos: o das firmas mais prováveis de enfrentarem restrição financeira e o das menos prováveis. Para realizar essa classificação eu utilizo o índice de Tamanho e Idade, e em uma switching regression com pontos de separação desconhecidos. Os resultados apontam que proteção ao credor está relacionada a menores sensibilidades do caixa ao fluxo de caixa para ao grupo restrito, enquanto proteção ao investidor externo está relacionada ao restrições mais prevalentes. Proteção ao acionista apresenta uma interação negativa com a sensibilidade da caixa ao fluxo de caixa no modelo em painel, mas o sinal oposto no modelo de switching regression. No conjunto de firmas irrestritas por outro lado, os resultados são inconclusivos para a variável de proteção ao credor, enquanto proteção ao investidor externo sempre aparece relacionado a uma diminuição da restrição financeira.
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Lee, Foong Mee, and n/a. "OTC derivatives filling the gaps in investor protection." University of Canberra. Law, 1998. http://erl.canberra.edu.au./public/adt-AUC20050523.105415.

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The dramatic growth of over-the-counter (OTC) derivatives in the last two decades and the ever-expanding range of financial derivative have triggered concerns as regards investor protection. These concerns have been exacerbated in recent times by phenomenal losses sustained by several large corporations (including municipalities), in the United States, Europe and Asia. This thesis seeks to evaluate the capacity of the existing regulatory framework in Australia to provide protection to participants trading in the OTC derivatives markets. The evaluation is carried out in three parts: first, by identifying the gaps in the Corporations Law regimes, second by determining the extent to which the general criminal and consumer laws are capable of stepping into the breach left open by the Corporations Law and third, by locating the gaps in the supervisory structure by identify the participants who are not subject to any form of supervision by the regulators. The examination conducted in this thesis of the regimes in Chapters 7 and 8 of the Corporations Law reveals a number of gaps in respect of investor protection. Significantly, the OTC derivatives market, which is by far the larger market compared to the on-exchange derivatives market, is generally unregulated by the Corporations Law. Comparative analysis between the sanctions provisions in Chapters 7 and 8 of the Corporations Law and those in the Crimes Act 1900 (NSW) and the Trade Practices Act 1974 (Cth) indicated that whilst these latter Acts have the potential to act as a substitute for some of the sanctions provisions in the Corporation Law, about half of the sanctions provisions under the Corporations Law regime has no equivalent provisions in these Acts. In consequence, some regulatory gaps remain. Gaps also occur in the supervisory structure as the surveillance by regulators of market participants is focused along institutional lines. The failure of the law to provide adequate protection to investors trading in the OTC derivatives markets is due primarily to an outdated, inflexible and inappropriate regulatory framework which, when originally constructed, was not intended to regulated the broad spectrum of financial derivatives. This thesis discusses the gaps and deficiencies in the Corporations Law regime and also discusses the recent recommendations made by the Wallis Committee and the Companies and Securities Advisory Committee as well as the proposals of the Treasury in relation to investor protection. It also provides some suggestions for law reform.
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Alabdulkarim, Sultan. "An evaluation of investor protection in secondary securities markets." Thesis, University of Newcastle Upon Tyne, 2012. http://hdl.handle.net/10443/1432.

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This thesis discusses differences in countries' approaches to investor protection regulation and explores the reasons why they exist in the first place as well as why they are likely to persist. I first provide a framework that can explain the need for regulation in financial markets in general and secondary capital markets in particular. Next, taking the United Kingdom and Saudi Arabia as case studies, I present descriptive and stylised evidence on regulatory and institutional differences across countries with regards to private enforcement of regulatory duties. Differences in the institutional treatment of those entitled to the regulatory protection as well as what regulatory duties entail are evident. However, the two countries are similar in that they both provide for private enforcement of regulatory duties through a cause of action in tort. An important implication of this finding is that the level of protection provided is unlikely to converge globally, despite efforts to harmonies by the International Organization of Securities Commissions (IOSCO). Convergence of the legal protection provided for investors is also unlikely due to persistent differences in tort law around the world. Given an ostensibly strong need for appropriate level of protection for investors, I propose a different way forward that does not require convergence of substantive regulation and enforcement across countries.
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Steward, Chris. "Investor protection and the costs of public policy failure." Master's thesis, University of Cape Town, 1993. http://hdl.handle.net/11427/13843.

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Bibliography: leaves 82-88.
Competitive markets respond automatically to change. Corrective forces are delivered by the pricing mechanism, where price changes indicate new allocations in the consumption of economic resources. Those market participants that are unable to respond adequately to change fail, resulting in a restructuring of the marketplace. Such failures are necessary in order to prevent a misallocation of scarce resources. Public policies, by attempting to suppress or eliminate the dynamic corrective processes of competitive markets, may lead to significant distortions in the marketplace. Using the collapse of the American Savings and Loan Industry as a case study, this paper analyses the distortions that may arise in the provision of financial services as a consequence of misguided public policy. While it is recognised that there may be scope for some public sector involvement in the financial sector of an economy, the overriding theme is that the goal of financial stability would best be served by actively promoting the corrective forces of private, competitive markets.
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Withaar, Ad. "Investor protection and the quality of the board of directors." Thesis, Uppsala universitet, Företagsekonomiska institutionen, 2016. http://urn.kb.se/resolve?urn=urn:nbn:se:uu:diva-277562.

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Aleid, Mohammed S. "A critical analysis of investor protection under Saudi Stock market regulations." Thesis, University of Essex, 2018. http://repository.essex.ac.uk/22110/.

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As the government of Saudi Arabia begins a major evolutionary process of economic expansion, the Saudi stock market has become the focus of increased attention. The legal framework that regulates the stock market is still considered to be underdeveloped, as only recently, in 2003, did the Saudi legislator issue a Capital Market Law (2003) and create a regulatory body vested with its enforcement. The securities market was built around this legislation, which helped to stimulate the economy by attracting investor. However, the Saudi stock market experienced a big crash in February 2006, which had a profound impact in heavy losses for large and small investors. The practical application of these new laws brought to light some shortcomings in the regulations of the stock market, and specifically, the need for the legal protection of investor. Hence, the overarching aim of this thesis is to focus particular on four issues: on the question of whether or not the existing regulations of the Saudi stock market adequately protects investor from poor disclosure, insider trading and market manipulation induced partly by market brokers. Thus, there are four primary objectives of this thesis: to enhance the effectiveness of existing rules to secure a suitable level of protection for investor against poor disclosure, market abuse and illegal practices by broker; to increase investor confidence and attractiveness of the market; to prevent a future repeat of the stock market collapse and avoid the steps that caused it; and finally, to provide useful material for Saudi Capital Market Law (2003) reforms in the future. In order to examine these sensitive issues, the thesis will first examine whether or not the disclosure regulations of the Saudi stock market provide adequate protection to investor and secondly assess the effectiveness of the legal framework of insider trading regulations for preventing insider trading. Third, it will ascertain how well the the law defines market manipulation and covers the most common forms of market manipulation under Saudi securities law. Lastly it will explore the responsibility that brokers in the Saudi stock market have to achieve the greatest degree of protection for investor.
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Hedefält, Håkan, and Fredrik Svensson. "The Influence of Investor Protection and Legal Origin on Equity Market Size." Thesis, Jönköping University, JIBS, Economics, 2007. http://urn.kb.se/resolve?urn=urn:nbn:se:hj:diva-985.

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This thesis examines the influence of investor protection and legal origin on equity market size. Previous studies have shown a relationship between legal origin and equity markets as well as quality of law. We examine whether there are any relationship between stock market capitalization as a percentage of GDP, private property rights, anti director rights and legal origin.

We use data from 49 countries in our sample that is collected from the World Bank, Heri-tage foundation and La Porta et al. (1998). Our study is based upon a cross-sectional re-gressions and a variance analyzes.

Our results show that property rights as well as anti director rights have a positive relation-ship to stock market capitalization as a percentage of GDP. We could not find any signifi-cant results in our regressions that stock market capitalization as a percentage of GDP can be explained by legal origin.

We consider previous conducted studies regarding legal origin to have exaggerated legal origins’ impact on equity markets. Equity markets are more related to the level of develop-ment in countries, no matter legal origin.

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Ekome, Emmanuel Kang Etone. "Disclosure of information by companies as an aspect of investor/creditor protection." Thesis, University of Aberdeen, 1996. http://digitool.abdn.ac.uk:80/webclient/DeliveryManager?pid=216658.

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Company law has made a major contribution to the industrial and economic development of capitalist countries. This thesis seeks to explore an important aspect at the heart of UK company law - disclosure of information by limited liability companies. The importance of disclosure lies in the fact that since the early days of the formation of joint stock companies, law makers have relied on disclosure as a means of protecting investors, creditors and others persons dealing with a company. This thesis examines disclosure of information in some chosen areas in UK company law. In each of the chosen areas the thesis examines the reasons why companies are required to disclose information to investors, creditors, employees and, to some extent, members of the public. It makes a brief summary of the information required to be disclosed in each area. It then goes on to make an assessment of the usefulness and effectiveness of the disclosure requirements and policies. Problem areas are identified and possible solutions are noted. The work is divided into five chapters. Chapter One is a general discourse of the various arguments for and against disclosure of information to various users of information. The other chapters discuss disclosure in relation to each chosen area. Chapter Two concerns public documents of limited companies. It examines the significance of disclosure of information in public documents in the light of the abolition of the ultra vires doctrine and the doctrine of constructive notice. Chapter Three deals with accounts. The reasons for financial reporting and some problems relating to financial reporting are at the heart of this chapter. Chapter Four examines directors' fiduciary duties. The reasons for imposing fiduciary duties on directors, problems faced by shareholders in monitoring company management and insider dealing are discussed. Chapter Five concerns takeovers. The importance of disclosure of information in a takeover and the measures taken by the City Panel on Takeovers and Mergers to protect shareholders of the target company are the basis of this chapter. Finally, the thesis ends with a General Conclusion which brings together the conclusions drawn from each chapter.
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Hooi, George Wye Keong, and n/a. "An Empirical Investigation Between Culture, Investor Protection, International Banking Disclosures and Stock Returns." Griffith University. Griffith Business School, 2007. http://www4.gu.edu.au:8080/adt-root/public/adt-QGU20071121.133040.

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There is a renewed interest in further exploring the significance of culture to the accounting disclosure model in view of a highly competitive global business environment. To date, there is no empirical research to investigate this issue with respect to a specific industry, namely banking. There are three main reasons for focusing only on the banking industry (Hooi 2004). First, it is considered to be the most important industry for the country’s economic and financial stability. Moreover, the IASB has recognised its significance by issuing unique accounting standards i.e. IAS30, IAS32 and IAS39. Second, Saidenberg and Schuermann (2003) argue that with the scope and complexity of Basel II, it provides opportunities for researching issues through Pillar 3. Third, with national banking systems being non-homogenous, it is important to investigate the effects of national culture because prior research has argued that cultural differences have partly explained international differences in disclosure framework of accounting systems. The purpose of this study is to apply and extend Gray’s (1988) theoretical framework of national culture with respect to four research questions. First, to contribute to Gray’s (1988) theory of cultural influence on international banking disclosures. Second, to investigate the possible significance of investor protection to the banking disclosure model. Third, to explore Gray’s (1988) theory on the relationship of national culture to capital market research using banking returns. Fourth, to investigate the value relevance of investor protection and banking disclosures to the returns model. Seventeen developed and developing countries with a representative sample of 37 listed domestic commercial banks were examined in 2004. For the disclosure model, the study finds that national culture is a significant factor in the banking industry. Individualism has been found as the primary cultural dimension for banking disclosures. Moreover, the explanatory power of the model significantly improves with the legal dimensions of common law and anti-director rights. The positive association between common law and banking disclosures is consistent with La Porta et al. (1998) which argue that common law countries with stronger investor protection are more transparent than civil law countries. However, there is a negative association between investor protection variable of anti-director rights with banking disclosures. This may suggest that investor protection does not encourage minority investors to enter the stock market specifically in the global banking industry. This situation may lead to a lack of demand for transparency through a smaller dispersion of ownership across the domestic banks. For the returns model, the study finds that national culture is value relevant in the banking industry. Collectivism and power distance have been found to be the two primary cultural dimensions for banking returns. Moreover, the explanatory power of the model significantly improves with anti-director rights and banking disclosures. These results are (1) consistent with La Porta et al. (2002) which argue that investor protection increases firm valuation with respect to Tobin’s Q and (2) international investors tend to support the Basel Committee’s commitment in providing a more transparent framework by implementing Pillar 3 in the near future, starting with the Basel member countries. Finally, an interesting finding from the study is that firm size has a negative association with banking returns.
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Hooi, George Wye Keong. "An Empirical Investigation Between Culture, Investor Protection, International Banking Disclosures and Stock Returns." Thesis, Griffith University, 2007. http://hdl.handle.net/10072/367282.

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There is a renewed interest in further exploring the significance of culture to the accounting disclosure model in view of a highly competitive global business environment. To date, there is no empirical research to investigate this issue with respect to a specific industry, namely banking. There are three main reasons for focusing only on the banking industry (Hooi 2004). First, it is considered to be the most important industry for the country’s economic and financial stability. Moreover, the IASB has recognised its significance by issuing unique accounting standards i.e. IAS30, IAS32 and IAS39. Second, Saidenberg and Schuermann (2003) argue that with the scope and complexity of Basel II, it provides opportunities for researching issues through Pillar 3. Third, with national banking systems being non-homogenous, it is important to investigate the effects of national culture because prior research has argued that cultural differences have partly explained international differences in disclosure framework of accounting systems. The purpose of this study is to apply and extend Gray’s (1988) theoretical framework of national culture with respect to four research questions. First, to contribute to Gray’s (1988) theory of cultural influence on international banking disclosures. Second, to investigate the possible significance of investor protection to the banking disclosure model. Third, to explore Gray’s (1988) theory on the relationship of national culture to capital market research using banking returns. Fourth, to investigate the value relevance of investor protection and banking disclosures to the returns model. Seventeen developed and developing countries with a representative sample of 37 listed domestic commercial banks were examined in 2004. For the disclosure model, the study finds that national culture is a significant factor in the banking industry. Individualism has been found as the primary cultural dimension for banking disclosures. Moreover, the explanatory power of the model significantly improves with the legal dimensions of common law and anti-director rights. The positive association between common law and banking disclosures is consistent with La Porta et al. (1998) which argue that common law countries with stronger investor protection are more transparent than civil law countries. However, there is a negative association between investor protection variable of anti-director rights with banking disclosures. This may suggest that investor protection does not encourage minority investors to enter the stock market specifically in the global banking industry. This situation may lead to a lack of demand for transparency through a smaller dispersion of ownership across the domestic banks. For the returns model, the study finds that national culture is value relevant in the banking industry. Collectivism and power distance have been found to be the two primary cultural dimensions for banking returns. Moreover, the explanatory power of the model significantly improves with anti-director rights and banking disclosures. These results are (1) consistent with La Porta et al. (2002) which argue that investor protection increases firm valuation with respect to Tobin’s Q and (2) international investors tend to support the Basel Committee’s commitment in providing a more transparent framework by implementing Pillar 3 in the near future, starting with the Basel member countries. Finally, an interesting finding from the study is that firm size has a negative association with banking returns.
Thesis (PhD Doctorate)
Doctor of Philosophy (PhD)
Griffith Business School
Department of Accounting, Finance and Economics
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Books on the topic "Investor Protection"

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1952-, Ferguson R. B., ed. Investor protection. London: Weidenfeld and Nicolson, 1992.

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Board, Securities and Investments. The Background to investor protection. London: Securities and Investments Board, 1996.

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Rafael, La Porta, and National Bureau of Economic Research., eds. Investor protection: Origins, consequences, reform. Cambridge, MA: National Bureau of Economic Research, 1999.

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Shleifer, Andrei. Investor protection and equity markets. Cambridge, MA: National Bureau of Economic Research, 2000.

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Board, Securities and Investments. The background to investor protection. London: Securities and Investments Board, 1992.

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Rafael, La Porta, Lopez-de-Silanes Florencio, Shleifer Andrei, Vishny Robert W, and National Bureau of Economic Research., eds. Investor protection and corporate valuation. Cambridge, MA: National Bureau of Economic Research, 1999.

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Program, Oregon Investor Information, ed. SIPC - Securities Investor Protection Corp. Salem, Or: Oregon Division of Finance & Corporate Securities, Investor Information Program, 1995.

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Gower, L. C. B. Review of investor protection: Report. London: H.M.S.O., 1986.

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Jonathan, Fisher, and Fisher Jonathan, eds. The law of investor protection. 2nd ed. London: Sweet & Maxwell, 2003.

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Jane, Bewsey, ed. The law of investor protection. London: Sweet & Maxwell, 1997.

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Book chapters on the topic "Investor Protection"

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Comana, Mario, Daniele Previtali, and Luca Bellardini. "Investor Protection." In The MiFID II Framework, 141–59. Cham: Springer International Publishing, 2019. http://dx.doi.org/10.1007/978-3-030-12504-2_6.

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Weiping, He. "Insider Trading and Investor Protection." In The Regulation of Securities Markets in China, 125–70. New York: Palgrave Macmillan US, 2018. http://dx.doi.org/10.1057/978-1-137-56742-0_5.

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Goodhart, C. A. E. "Investor Protection and Unprincipled Intervention? (1987)." In The Central Bank and the Financial System, 453–57. London: Palgrave Macmillan UK, 1995. http://dx.doi.org/10.1057/9780230379152_20.

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Salo-Lahti, Marika, and Vesa Annola. "Investor protection strategies in crowdfunding regulation." In Responsible Finance and Digitalization, 171–85. London: Routledge, 2022. http://dx.doi.org/10.4324/9781003144427-14.

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"Investor Protection." In Securities Regulation in China, 187–205. Brill | Nijhoff, 2001. http://dx.doi.org/10.1163/9789004479760_015.

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Habib, Michel A., and D. Bruce Johnsen. "Equilibrium Investor Protection." In The Cambridge Handbook of Investor Protection, 241–58. Cambridge University Press, 2022. http://dx.doi.org/10.1017/9781108987622.017.

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Delport, Piet. "South Africa: Investor Protection." In Global Securities Litigation and Enforcement, 779. Cambridge University Press, 2019. http://dx.doi.org/10.1017/9781316258118.023.

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"Investor protection in Cambodia." In OECD Investment Policy Reviews, 103–19. OECD, 2019. http://dx.doi.org/10.1787/9789264309074-9-en.

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Haentjens, Matthias, and Pierre de Gioia Carabellese. "Consumer and investor protection." In European Banking and Financial Law, 83–99. Routledge, 2020. http://dx.doi.org/10.4324/9781315173764-7.

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Ho, Lusina. "Protecting Investors of Collective-Investor Trusts in China." In The Cambridge Handbook of Investor Protection, 153–68. Cambridge University Press, 2022. http://dx.doi.org/10.1017/9781108987622.011.

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Conference papers on the topic "Investor Protection"

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Tan, Wenhao, and Zhenpeng Ma. "Accounting Firms Transformation and Investor Protection." In Proceedings of the 2018 5th International Conference on Education, Management, Arts, Economics and Social Science (ICEMAESS 2018). Paris, France: Atlantis Press, 2018. http://dx.doi.org/10.2991/icemaess-18.2018.178.

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Yang, Yong. "The Endogenous Optimization Mechanism of Investor Protection." In 2009 International Conference on Information Management, Innovation Management and Industrial Engineering (ICIII 2009). IEEE, 2009. http://dx.doi.org/10.1109/iciii.2009.96.

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Huang, Cao. "Research on Investor Protection System of Chinese Depositary Receipts." In Proceedings of the 2018 2nd International Conference on Economic Development and Education Management (ICEDEM 2018). Paris, France: Atlantis Press, 2018. http://dx.doi.org/10.2991/icedem-18.2018.86.

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Zhang, Dixin, Zhonghai Li, and Jie Mei. "A Research of Investor Protection Based on the Reputation Mechanism." In 2010 International Conference on Management and Service Science (MASS 2010). IEEE, 2010. http://dx.doi.org/10.1109/icmss.2010.5578254.

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Ankudinov, Andrei. "Corporate Transparency As An Investor Protection Tool: Evidence From Russia." In SCTCGM 2018 - Social and Cultural Transformations in the Context of Modern Globalism. Cognitive-Crcs, 2019. http://dx.doi.org/10.15405/epsbs.2019.03.02.99.

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Nahak, Simon, and I. Nyoman Budiartha. "The Legal Protection For Foreign Investor In Ecotourism Field In Bali." In Proceedings of the First International Conference on Technology Management and Tourism, ICTMT, 19 August, Kuala Lumpur, Malaysia. EAI, 2020. http://dx.doi.org/10.4108/eai.19-8-2019.2293782.

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Du, Xianghong. "Research on Enactment of Regulatory Policy, Investor Protection and Market Reaction." In 2010 International Conference on Management and Service Science (MASS 2010). IEEE, 2010. http://dx.doi.org/10.1109/icmss.2010.5575957.

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Rahmaningtyas, Fathiah, and Aria Farah Mita. "IFRS Adoption, Earnings Management and Investor Protection in Several Asian Countries." In 6th International Accounting Conference (IAC 2017). Paris, France: Atlantis Press, 2018. http://dx.doi.org/10.2991/iac-17.2018.21.

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Chaudhary, Saima Nasir, and Syed Zulfiqar Ali Shah. "Investor protection and external financing: Empirical evidence from non-financial sector of Pakistan." In 2016 Management and Innovation Technology International Conference (MITicon). IEEE, 2016. http://dx.doi.org/10.1109/miticon.2016.8025243.

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Stevenson, Simon, and Annisa Prima. "Investor Protection, Corporate Governance and Firm Performance: Evidence from Asian Real Estate Investment Trusts." In 22nd Annual European Real Estate Society Conference. European Real Estate Society, 2015. http://dx.doi.org/10.15396/eres2015_70.

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Reports on the topic "Investor Protection"

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Porta, Rafael La, Florencio Lopez-deSilanes, Andrei Shleifer, and Robert Vishny. Investor Protection and Corporate Valuation. Cambridge, MA: National Bureau of Economic Research, October 1999. http://dx.doi.org/10.3386/w7403.

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Burkart, Mike, Denis Gromb, Holger Mueller, and Fausto Panunzi. Legal Investor Protection and Takeovers. Cambridge, MA: National Bureau of Economic Research, May 2011. http://dx.doi.org/10.3386/w17010.

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Shleifer, Andrei, and Daniel Wolfenson. Investor Protection and Equity Markets. Cambridge, MA: National Bureau of Economic Research, October 2000. http://dx.doi.org/10.3386/w7974.

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Porta, Rafael La, Florencio Lopez-deSilanes, Andrei Shleifer, and Robert Vishny. Investor Protection: Origins, Consequences, and Reform. Cambridge, MA: National Bureau of Economic Research, December 1999. http://dx.doi.org/10.3386/w7428.

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Bebchuk, Lucian, and Zvika Neeman. Investor Protection and Interest Group Politics. Cambridge, MA: National Bureau of Economic Research, December 2007. http://dx.doi.org/10.3386/w13702.

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Foley, C. Fritz, and Robin Greenwood. The Evolution of Corporate Ownership After IPO: The Impact of Investor Protection. Cambridge, MA: National Bureau of Economic Research, December 2008. http://dx.doi.org/10.3386/w14557.

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Pinkowitz, Lee, Rene Stulz, and Rohan Williamson. Do Firms in Countries with Poor Protection of Investor Rights Hold More Cash? Cambridge, MA: National Bureau of Economic Research, December 2003. http://dx.doi.org/10.3386/w10188.

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Katz, Sabrina, Miguel Algarin, and Emanuel Hernandez. Structuring for Exit: New Approaches for Private Capital in Latin America. Inter-American Development Bank, March 2021. http://dx.doi.org/10.18235/0003074.

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Structured financing solutions encompass a range of investment approaches that provide liquidity to investors without the need for a traditional equity exit event, such as a strategic sale, sale to another financial investor, or public market listing. Structuring mechanisms across the debt-to-equity spectrum determine the exit terms of the deal, therefore providing considerable downside protection to investors. Structured financing solutions are an incipient but increasingly important set of tools for investors active in Latin America to address the financing gap for companies that lack access to bank financing and are not attractive targets for traditional PE and VC players. Many investors employing these strategies are in an experimental phase, reporting new lessons learned with each deal completed. Impact investors have been among the top drivers of these structuring innovations, as they have grappled with the additional limitations associated with the straight equity model for environmental or social enterprises. However, the use of structured financing is by no means restricted to the impact investing space. Fund managers have invested USD4b in private credit deals in Latin America since 2018, more than the previous ten years combined. PE and VC investors have also increasingly employed quasi-equity and debt instruments. ACON Investments, for example, has employed mezzanine structures in several deals from its latest funds. Brazil-focused venture capital firm SP Ventures has recently begun investing from its debut venture debt fund. Growing experimentation by fund managers demonstrates the opportunity for investors across ticket sizes, strategies, and the impact-to-commercial spectrum. The structures discussed and the case studies highlighted in this report contain some of the major lessons applicable to a wide group of private capital investors in Latin America targeting certain and timely exits with consistent returns.
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Gombeda, Matthew, Estevan Rivera, and Zoe Lallas. Optimal Approach for Addressing Reinforcement Corrosion for Concrete Bridge Decks in Illinois. Illinois Center for Transportation, April 2022. http://dx.doi.org/10.36501/0197-9191/22-005.

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This report presents the results of a comprehensive literature review focusing on corrosion performance of reinforced concrete bridge decks, with a particular emphasis on the relative performance of alternative corrosion-resistant reinforcement types. Examples of alternative corrosion-protection options examined herein include epoxy-coated, galvanized, stainless-steel, and A1035 bars, considering conventional black reinforcing bars as the standard. Based upon the results of the literature review, a framework for determining the optimal reinforcement option for a bridge deck is presented as a function of the properties of each reinforcement type and other factors, such as design service life, location of the bridge, estimated maintenance/repair cycles, and relative costs. Several examples are also provided to demonstrate the procedure for using the framework and its applicability for different bridge types with varying design considerations, such as a congested urban artery and a rural interstate. The literature review findings and the optimal approach framework were crafted for use by bridge design engineers as preliminary guidance when determining the type of reinforcement for a given bridge deck and its corresponding conditions. Furthermore, the approach can also be used by Illinois Department of Transportation officials when deciding whether to invest in higher performing corrosion-protection systems for a given application or for updating current bridge design policies to reflect the latest developments in alternative corrosion-resistant reinforcement options.
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Coleman, Katharina. Optimising national staff contributions in UN peacekeeping operations. Folke Bernadotte Academy, 2023. http://dx.doi.org/10.61880/nulo7273.

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How can the UN optimise the contributions that locally recruited ‘national staff’ make to peacekeeping operations? Especially given intense pressure to reduce costs through ‘lighter footprints’, peacekeeping operations need to mobilise the full potential of all their personnel to accomplish mandated tasks. This includes civilian staff, of whom 61% are national staff. Missions depend on national staff both for cost savings (since national staff typically earn less than international staff) and for local expertise and access. Yet tensions arising from status inequalities between national and international staff pose significant risks to individual staff performance and to unit effectiveness. Hostile mission environments and downsizing trends exacerbate these tensions. Drawing on extensive interviews in four UN peacekeeping operations, this brief recommends that missions: Counter the culture of inequality between national and international staff by upholding formal rank equivalents, reconsidering restrictions on some unit leadership positions, avoiding generalisations about individuals based on their staff category, and revisiting differential administrative policies. Visibly invest in national staff security by reviewing safety and security protocols for national staff, improving communication about protection policies, and improving mechanisms for national staff to report protection concerns. Carefully manage downsizing by instituting a transparent downsizing process, ensuring fairness across staff categories, working to retain relevant existing staff throughout mission drawdown, and placing greater emphasis on career management and employment transitions.
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