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Artigos de revistas sobre o tema "Securities"

Autor: Grafiati

Publicado: 4 de junho de 2021

Última modificação: 31 de julho de 2024

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1

Tao, Yi. "Impact of Securities Investment on Corporate Performance". Highlights in Business, Economics and Management 9 (13 de junho de 2023): 483–89. http://dx.doi.org/10.54097/hbem.v9i.9178.

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In recent years, with the development of economic technology, securities investment by listed companies has become increasingly common. Using the Chinese listed firms from 2009 to 2020, this study investigates the effect of securities investment on corporate performance. This study finds that securities investment by listed companies has a positive impact on corporate performance. This paper contributes to the literature on the consequences of enriching research on the consequences of financialization in enterprises and studies on the evaluation of corporate performance. In addition, this study provides implications for listed firms, the weighting of securitized investments, and the evaluation of corporate performance.

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Ochmann, Paweł. "CZY KAŻDY BILET ZAWSZE MUSI BYĆ ZNAKIEM LEGITYMACYJNYM, CZYLI ROZWAŻANIA O ZASADZIE ‘NUMERUS CLAUSUS’ PAPIERÓW WARTOŚCIOWYCH W POLSKIM PORZĄDKU PRAWNYM". Zeszyty Prawnicze 16, n.º 1 (1 de dezembro de 2016): 135. http://dx.doi.org/10.21697/zp.2016.16.1.05.

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The ‘Numerus Clausus’ Principle for Securitiesin the Polish Legal SystemSummaryMost specialists on the doctrine of Polish private law hold that thereis a numerus clausus principle for securities in Polish law, although it hasnot been specifically put into words in any act of legislation. According tothe principle only those types of securities may be issued which are regulated by a statute. This means a prohibition on the issue of securities thathave not been legally recognised. There are only a few opinions that saythere is no numerus clausus on securities in Polish legal doctrine. Thisquestion has been the subject of a heated debate, which has attenuatedover the last years. However, many issues have neither been scrutinised nor even noticed. There are still several points worthy of consideration.The author’s aim in this paper is to review the arguments for and againstnumerus clausus; some of them have never been examined before. Hisanalysis leads him to conclude that there is a numerus apertus (i.e. norestrictions) on some securities, such as bonds, while others such asshares, which endow their holder with special rights, are subject to legalrestrictions. The article is an offshoot of research for a dissertation onprivate law conducted on an individual research programme supervisedby Dr. M. Spyra at Collegium Invisibile in the 2013/2014 academic year.

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Muir, Dana, Junhai Liu e Haiyan Xu. "The Future of Securities Class Actions against Foreign Companies: China and Comity Concerns". University of Michigan Journal of Law Reform, n.º 46.4 (2013): 1315. http://dx.doi.org/10.36646/mjlr.46.4.securities.

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In Morrison v. National Australia Bank Ltd., the U.S. Supreme Court limited the application of U.S. securities fraud law in transnational situations. The Supreme Court noted that its decision was influenced by international comity considerations. In this Article, we evaluate the availability of class actions in China in cases involving alleged securities fraud. Because we find that the availability of those actions is too limited to fully protect U.S. shareholders, we argue that U.S. investors should be permitted to bring securities fraud class actions against non-U.S. companies whose securities are traded on a U.S. exchange regardless of where those investors entered into the relevant securities transactions.

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Boyarchenko, Nina, Andreas Fuster e David O. Lucca. "Understanding Mortgage Spreads". Review of Financial Studies 32, n.º 10 (8 de fevereiro de 2019): 3799–850. http://dx.doi.org/10.1093/rfs/hhz004.

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Abstract Because most mortgages in the United States are securitized in agency mortgage-backed securities (MBS), yield spreads on MBS are a key determinant of homeowners’ funding costs. We study variation in MBS spreads in the time series and across securities and document that MBS spreads show a pronounced cross-sectional smile with respect to the securities’ coupon rates. We present a new pricing model that uses “stripped” MBS prices to identify the contribution of non-interest-rate prepayment risk to spreads and find that this risk explains the smile, whereas the time-series spread variation is mostly accounted for by nonprepayment risk factors. Received March 30, 2015; editorial decision November 21, 2018 by Editor Leonid Kogan. Authors have furnished an Internet Appendix, which is available on the Oxford University Press Web site next to the link to the final published paper online.

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Ho, Thomas S. Y. "Primitive Securities". Journal of Derivatives 1, n.º 2 (30 de novembro de 1993): 6–22. http://dx.doi.org/10.3905/jod.1993.407879.

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Benoit, George W. "Innovative Securities". ICFA Continuing Education Series 1988, n.º 1 (janeiro de 1988): 39–41. http://dx.doi.org/10.2469/cp.v1988.n1.10.

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Tutuianu, Ion. "SECURITIES INTERMEDIARIES". STUDIES AND SCIENTIFIC RESEARCHES. ECONOMICS EDITION, n.º 13 (17 de dezembro de 2008): 109. http://dx.doi.org/10.29358/sceco.v0i13.32.

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The utility of comercial intermediation is obvious and represents a result of the needs created in the comercial surroundings. Doing comercial transactions on larger and larger scales calls for the need of using intermediaries for enhancing and improving the activity of the economical agent. This way, intermediation appears in between opposite related subjects: the economical agents that offer goods and services, and on the other hand, the persons who need these things.

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8

Gale, Douglas. "Standard Securities". Review of Economic Studies 59, n.º 4 (outubro de 1992): 731. http://dx.doi.org/10.2307/2297995.

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Instefjord, Norvald, Patricia Jackson e William Perraudin. "Securities fraud". Economic Policy 13, n.º 27 (outubro de 1998): 585–623. http://dx.doi.org/10.1111/1468-0327.00041.

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10

Lash, William H. "Litigating Securities". Society 34, n.º 6 (setembro de 1997): 66–71. http://dx.doi.org/10.1007/bf03355969.

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Marín, José M., e Rohit Rahi. "Speculative securities". Economic Theory 14, n.º 3 (1 de novembro de 1999): 653–68. http://dx.doi.org/10.1007/s001990050346.

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12

Antrim, Jacob. "Securities Fraud and Reliance: Indiana's Securities Fraud Standard". Indiana Law Review 54, n.º 2 (14 de janeiro de 2022): 421–44. http://dx.doi.org/10.18060/26025.

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13

Mercier, Fabien, e Stephan Sauer. "Optimal central securities depository reshaping toward TARGET2-Securities". Journal of Financial Market Infrastructures 2, n.º 2 (dezembro de 2013): 3–51. http://dx.doi.org/10.21314/jfmi.2013.024.

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14

Forbes, Jessica, e Gregory P. Gnall. "FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities". Journal of Investment Compliance 11, n.º 2 (16 de junho de 2010): 42–45. http://dx.doi.org/10.1108/15285811011056394.

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15

Zheng, Fenghe. "Analysis of Real Estate Asset Securitization and Liquidity from the Perspective of Financial Crisis". Learning & Education 10, n.º 5 (13 de março de 2022): 247. http://dx.doi.org/10.18282/l-e.v10i5.2760.

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Asset securitization refers to the behavior of converting illiquid assets into securities that can be bought and sold freely in the financial market to make them liquid. It is a direct financing method through the issuance of securities in the capital market and the money market. It includes four categories: physical asset securitization, credit asset securitization, securities asset securitization, and cash asset securitization. Asset securitization in a narrow sense refers to the securitization of credit assets. According to the different types of assets to be securitized, credit asset securitization can be divided into mortgage-backed securitization and assetbacked securitization. Once a crisis occurs, it will inevitably lead to pessimistic expectations of the subprime mortgage market, which will impact the capital chain of the loan market, and then affect the entire mortgage market. At the same time, the price of the real estate market will continue to fall because of the psychology of house owners to stop losses. The superposition of the two factors forms the Matthew effect, a vicious circle appears, which makes the crisis intensified.

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16

Deng, Yang, Helen X. H. Bao e Pu Gong. "International Real Estate Review". International Real Estate Review 21, n.º 2 (30 de junho de 2018): 145–68. http://dx.doi.org/10.53383/100258.

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This study examines the tail dependence of returns in international public real estate markets. By using the daily returns of real estate securities in seven cities/countries from 2000 to 2018, we analyze how the interdependence of international securitized real estate markets has changed since the Global Financial Crisis. We divide our sampling period into the pre-crisis, crisis, and post-crisis periods, and estimate both upper and lower tail dependence coefficients for each sub- period. Our empirical results confirm that most city/country pairs have changed from tail-independent to tail-dependent since 2007. Strong tail dependence persists during the crisis and post-crisis periods. The findings from the post-crisis sub-sample provide new evidence on increased tail dependence in the global real estate market in recent years. We conclude that international real estate securities still offer diversification benefits nowadays but to a lesser extent than in the pre-crisis period. Investing in the global real estate securities markets is beneficial for cross-region, mixed-asset portfolios.

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Holub, Dušan, e Ildikó Némethová. "Theoretical and Legal Reflections on Securities Dispositions". Studia Commercialia Bratislavensia 8, n.º 31 (1 de setembro de 2015): 353–61. http://dx.doi.org/10.1515/stcb-2015-0034.

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Abstract Decreasing the number of materialised securities for the benefit of electronic securities has led to distinctions between commercial and legal opinions on securities transactions. Contemporary financial markets only trade electronic securities held in securities accounts. Securities law enhances adjustments to economic realities and not to legal principles. Discrepancies between economic realities and securities regulation should be resolved in order to find a balance between successfully functioning transactions of electronic securities and legal schemes which are based on transfers of physically existing assets, which include securities, as a result of the theory of incorporations, in certain legal regulations. This article is a theoretical and legal reflection on selected issues connected with the transfer of securities with reference to discrepancies between economic realities and legal regulations.

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18

Yuan, Ling, Shan-Hui Sun e Zheng-Qun Cai. "BSC-Based Performance Evaluation Model for Securities Industry and Its Application". Journal of Function Spaces 2022 (14 de julho de 2022): 1–10. http://dx.doi.org/10.1155/2022/8596540.

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In the study on China’s securities industry, the securities industry is divided into four types: investment in securities, securities brokerage, securities consulting, and securities underwriting and asset management. In this paper, a performance evaluation index system for the securities industry is established by using the balanced scorecard method. Based on the analytic hierarchy process, entropy weight method, and improved entropy weight method, we propose the traditional integrated weighting method and improved integrated weighting method, thus arriving at four different index weight systems. Finally, we work out the comprehensive scores of four types of securities companies under the four index weight systems, analyze the actual situation of China’s securities industry by comparing the scores and rankings of securities companies under the four index weight systems, and then put forward specific suggestions.

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19

Chłopecki, Andrzej. "DEFINICJA PAPIERÓW WARTOŚCIOWYCH DŁUŻNYCH". Zeszyty Prawnicze 3, n.º 2 (10 de maio de 2017): 93. http://dx.doi.org/10.21697/zp.2003.3.2.05.

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Definition of Debt SecuritiesSummaryThe main subject of this article is the definition of debt securities in Polish civil law. This expression („debt securities”) used in many parliaments bills, was not defined on the level of the parliaments bill. Especially in cases of so called „hybrid securities” (securities with the mixed legal nature) there is a necessity to analyze and define their legal nature. This article gives a very short overview on the different types of securities and proposes their systematical classification. The main conclusion of this article is: either in the case of the mixed nature of securities, the right to demand from the issuer to withdraw securities (to pay for them or exchange them into a different type of securities) determines the legal nature of securities as debt securities.

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20

Akshaya, Ch, e Dr S. Narender. "Risk and Return Analysis of Selected Securities in Kotak Securities Pvt Limited, Hyderabad". International Journal of Research Publication and Reviews 5, n.º 7 (julho de 2024): 2470–79. http://dx.doi.org/10.55248/gengpi.5.0724.1825.

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21

Shamshieva, Gulasel. "THE ROLE OF COMMERCIAL BANKS IN THE SECURITIES MARKET AND THE CURRENT STATE OF THE STATE SECURITIES MARKET IN KYRGYZSTAN". Alatoo Academic Studies 20, n.º 1 (30 de janeiro de 2020): 204–11. http://dx.doi.org/10.17015/aas.2020.201.26.

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This article gives a classification of securities. The investment activities and operations with securities of commercial banks, as well as the legal regulation of the activities of commercial banks in the securities market in Kyrgyzstan are examined. A review of the current state of the securities market in the Kyrgyz Republic is carried out. Volumes of debt securities are also presented. The volume of annual issue of securities for 3 years from 2017 to 2019, the volume of foreign investment in corporate securities is shown. During the review of the state of the securities market, it was concluded that commercial banks play a major role in the development of the securities market, acting as issuers, investors and intermediaries. A program for the development of the government securities market for both the medium and long term is proposed.

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22

Omlor, Sebastian, e Derwis Dilek. "German Electronic Securities Act". European Company Law 19, Issue 3 (1 de junho de 2022): 67–72. http://dx.doi.org/10.54648/eucl2022012.

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On 10 June 2021, the Electronic Securities Act came into force in Germany, with which a great leap towards the modernization and dematerialization of German securities law was made. For the first time in Germany, the issue of securities in electronic form is possible without the need for a tangible securities certificate. With the emergence of two new types of (electronic) securities, new features were added to German (securities) law, which raise substantial questions, for instance, about the legal nature, issuance, and transference of electronic securities. By enabling electronic securities registers, the act also invites new actors into the ecosystem of the German financial market and modifies the role of already existing actors. As these registers can be based on distributed ledger technology (DLT), Germany has opened up to innovative technologies. Germany’s embrace of modern technology brings its securities law to the cutting edge (forefront) of the discipline and may create new opportunities for market participants but also pose new challenges for them as well as the regulator and supervisory authorities. The article addresses some of these issues and provides an overview of the legal framework for electronic securities. distributed ledger technology, electronic securities, Electronic Securities Act (Germany)

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23

Heliantono, Heliantono. "TRUE SALE ACCOUNTING ON SECURITIZATION IN INDONESIA". International Journal of Contemporary Accounting 1, n.º 2 (3 de fevereiro de 2020): 99. http://dx.doi.org/10.25105/ijca.v1i2.6192.

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Asset securitization is one of the financing solutions. One application for the use of asset securitization is in the residential mortgage sector. Securitization in Indonesia so far has been discussed in terms of financial management and legal aspects. This article discusses about securitization in Indonesia in term of accounting perspective. The accounting aspects of securitization transactions are based on the occurrence or non-occurrence of the derecognition of the financial assets securitized (true sale in accounting). Asset securitization in Indonesia is carried out with the issuance of Asset-Backed Securities Collective Investment Contracts (KIK EBA) and Asset-Backed Securities in the form of Participation Certificate (EBA SP) with a total of 15 EBAs which are still traded at present. Eighty percent are residential mortgages backed securities (RMBS), the rest are non-RMBS. The accounting treatment of securitization transactions conducted by the originator and in the event of an accounting true sale and non-true sale are discussed, also the securitization accounting treatment for originator, Special Purpose Vehicle (SPV), and investors. Broader socialization is needed so securitization can be applied in various economic activities to benefit national development in Indonesia

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24

Bulatović, Petar. "Significance and economic functions of securities". Pravo - teorija i praksa 39, n.º 4 (2022): 48–58. http://dx.doi.org/10.5937/ptp2204048b.

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Globalization of markets and internationalization of trade significantly affect both the regional and national ways of doing business, economic trends, and economic balances, as well as the competitive positions on the world market of knowledge and capital. Securities have a great importance in business. Theory and practice agree that the issuance of securities represents a significant social and economic event, both locally and regionally, as well as globally. Bearing in mind the topic of the paper, in the subheadings there have been analyzed the basic issues related to securities-the concept and essential features of securities, the legal nature and types of securities, the creditworthiness of securities, the legal treatment of securities in Republic of Serbia, as well as the importance and economic function of securities.

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25

Khusnutdinov, R. M. "SECURITIES IN CRIMINAL LEGAL PROCEEDINGS AND OTHER PROCEEDING INDUSTRY: GENERAL VECTOR OF LEGAL REGULATION". Bulletin of Udmurt University. Series Economics and Law 32, n.º 3 (31 de maio de 2022): 560–65. http://dx.doi.org/10.35634/2412-9593-2022-32-3-560-565.

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The basic principles of the legal regulation of securities have been studied. The dialectical connection of the social significance of securities and the economic functions they perform with the legal regulation of securities has been revealed. The idea of special protection by the state of the rights of owners of securities is disclosed. Foreign and historical experience, the influence of this experience on the adoption of the most important Russian legislative acts in the field of issuance and circulation of securities are considered. The content of special norms of criminal, civil and arbitration proceedings affecting the sphere of issuance and circulation of securities is analyzed. The conclusion about the insufficient perception of the idea of special protection of the rights of securities holders in the course of actions and decision-making in criminal proceedings is substantiated. Based on the analysis of judicial practice, certain problems of the application of the criminal procedure law in the field of issuance and circulation of securities are formulated: contradictory judicial practice regarding the admissibility of a prohibition in criminal proceedings for the owner of securities to vote with securities belonging to him, ignoring by the courts the value of securities that are seized, the absence in criminal proceedings of a procedure for replacing seized securities, which may violate the rights of participants in corporate relations and other persons.

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26

Manh, Pham Tien, Le Thi Bich Ngan e Tran Anh Tuan. "THE DETERMINANTS OF USING FINTECH IN SERVICES OF LISTED SECURITIES FIRMS IN VIETNAM". Journal of Southwest Jiaotong University 57, n.º 1 (28 de fevereiro de 2022): 434–44. http://dx.doi.org/10.35741/issn.0258-2724.57.1.40.

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Fintech and its applications have become a well-known topic in recent years, owing to the rapid advancement of technology in all parts of life. However, the use of fintech in securities firms is still a relatively new topic in academic areas. This research focuses on understanding the factors affecting the application of fintech in service activities at 22 listed securities firms in Vietnam in 2010-2021. By using the ordered logit regression, the authors find out that, the variables that affect the use of fintech in the services of securities companies including revenue from securities brokerage services; securities depository services revenue; total service revenue of securities company; brokerage services cost; securities depository services cost; financial advisory services cost; net services revenue and cost of securities firm; and market capitalization of those companies. The findings of this study are being used to make recommendations for securities firms striving to enhance their performance by adopting fintech into their operations.

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27

Poh Soon Joseph Ng, Xing Zhang, Lianyi Fu, Li Ye e Koo Yuen Phan. "The Inclusive Innovation of Blockchain in Securities Issuance: Reduced Inequalities of Investors". Journal of Advanced Research in Applied Sciences and Engineering Technology 46, n.º 2 (10 de junho de 2024): 188–212. http://dx.doi.org/10.37934/araset.46.2.188212.

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As an important driving force of financial technology, many financial institutions are exploring the application and scenario landing of blockchain. With the rise of the blockchain concept, the value of smart contracts is constantly being amplified and applied. Inefficient settlement, opaque asset issuance, and post-IPO regulation are the main obstacles facing securities markets in various countries. This research examines the application of blockchain in securities issuance. First, it reviews the current situation of the global and Chinese securities markets, analyses the existing problems and opportunities according to the existing processes, and focuses on the reliability of securities data, the transparency of securities issuance, and the application of smart contracts in securities trading. We also explore the regulatory hurdles and legal risks that blockchain-based securities may face and give recommendations accordingly. The mixed model method is chosen to make up for the limitations of various research methods. The collection of data is based on online questionnaires to collect people's opinions and attitudes toward these issues. Then the reliability and content validity of the data were verified. After confirming the valid data, the results of the data are analysed, the long-term effects and some recommended actions are discussed, and the hypotheses are validated based on the PLS-SEM model. Then, the paper proposes a scheme of blockchain securities based on weakened authority and looks forward to the future of blockchain securities. This research can provide theoretical guidance for the implementation of blockchain securities, and the proposed scheme solves the problem of transparency of securities and helps investors reduce losses caused by poor information. In the conclusion, we also analyse the practical challenges and considerations of implementing blockchain technology in the securities industry. Finally, intelligent transactions realized by blockchain securities can also reduce the economic and reputation losses caused by human errors for securities companies while reducing manpower costs.

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Degterev, D. "African Securities Market". World Economy and International Relations, n.º 12 (2004): 96–102. http://dx.doi.org/10.20542/0131-2227-2004-12-96-102.

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Milligan, Jack. "Distressed-Income Securities". CFA Institute Magazine 15, n.º 4 (julho de 2004): 46–47. http://dx.doi.org/10.2469/cfm.v15.n4.2880.

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Umurzakova, Nargisxon Muxtarovna. "INTERNATIONAL SECURITIES MARKET." Theoretical & Applied Science 88, n.º 08 (30 de agosto de 2020): 14–18. http://dx.doi.org/10.15863/tas.2020.08.88.4.

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Schmidt, James K. "Valuing Banking Securities". AIMR Conference Proceedings 1992, n.º 4 (setembro de 1992): 42–48. http://dx.doi.org/10.2469/cp.v1992.n4.5.

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Röder, Klaus, e Ulrich Sonnemann. "Asset Backed Securities". WiSt - Wirtschaftswissenschaftliches Studium 34, n.º 6 (2005): 328–33. http://dx.doi.org/10.15358/0340-1650-2005-6-328.

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Weiss, Elliott J. "Pleading Securities Fraud". Law and Contemporary Problems 64, n.º 2/3 (2001): 5. http://dx.doi.org/10.2307/1192305.

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Smith, Russell G., e Peter N. Grabosky. "Online Securities Fraud". Journal of Financial Crime 9, n.º 1 (março de 2001): 54–70. http://dx.doi.org/10.1108/eb026007.

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Besorai, Ahal. "Israel: Securities Regulation". Journal of Financial Crime 3, n.º 1 (fevereiro de 1995): 110–11. http://dx.doi.org/10.1108/eb025689.

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Noxolo, Patricia. "Caribbean In/Securities". Small Axe: A Caribbean Journal of Criticism 22, n.º 3 (1 de novembro de 2018): 37–46. http://dx.doi.org/10.1215/07990537-7249114.

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Cummings, Ronald. "Maroon In/Securities". Small Axe: A Caribbean Journal of Criticism 22, n.º 3 (1 de novembro de 2018): 47–55. http://dx.doi.org/10.1215/07990537-7249126.

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Schammo, Pierre. "EC Securities Regulation". European Business Organization Law Review 11, n.º 2 (junho de 2010): 309–15. http://dx.doi.org/10.1017/s156675291020006x.

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39

Malatesta, Paul H., e Ralph A. Walkling. "Poison pill securities". Journal of Financial Economics 20 (janeiro de 1988): 347–76. http://dx.doi.org/10.1016/0304-405x(88)90050-5.

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Zanoni, Andrea. "EC Securities Regulation". European Business Organization Law Review 4, n.º 2 (junho de 2003): 343–47. http://dx.doi.org/10.1007/bf03354629.

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Langner, Sabine. "Asset Backed Securities". Schmalenbachs Zeitschrift für betriebswirtschaftliche Forschung 54, n.º 7 (novembro de 2002): 656–73. http://dx.doi.org/10.1007/bf03372691.

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Chen, Mark A., e Robert Marquez. "Regulating securities analysts". Journal of Financial Intermediation 18, n.º 2 (abril de 2009): 259–83. http://dx.doi.org/10.1016/j.jfi.2008.07.001.

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Pagli, John M. "Convertible Securities Hedging". Journal of Alternative Investments 2, n.º 4 (31 de março de 2000): 42–49. http://dx.doi.org/10.3905/jai.2000.318976.

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Cooperman, Jennifer, Martin Gagnon, Hal Hinkle, Philip Kearns e Vikram Rao. "Canadian Mortgage Securities". Journal of Fixed Income 4, n.º 3 (31 de dezembro de 1994): 75–95. http://dx.doi.org/10.3905/jfi.1994.408119.

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Clark, Douglas J., e Douglas W. Greene. "Securities litigation landscape". International Journal of Disclosure and Governance 3, n.º 2 (junho de 2006): 132–47. http://dx.doi.org/10.1057/palgrave.jdg.2040072.

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Rubtsov, B. "International Securities Markets". World Economy and International Relations, n.º 8 (2001): 35–46. http://dx.doi.org/10.20542/0131-2227-2001-8-35-46.

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Becker, Brandon, Eugene Lopez, Victoria Berberi-Doumar, Richard Cohn e Alden S. Adkins. "Automated securities trading". Journal of Financial Services Research 6, n.º 4 (janeiro de 1993): 327–41. http://dx.doi.org/10.1007/bf01046074.

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Rouse, Robert W. "Regulating financial securities". Journal of Corporate Accounting & Finance 21, n.º 1 (novembro de 2009): 93–95. http://dx.doi.org/10.1002/jcaf.20554.

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Adam, Achmad Ricky Dwiandi, Gunardi Lie e Moody Rizqy Syailendra Putra. "Analysis of Accountability of Securities to Investors in the Event of Embezzlement of Investment Funds by Securities". QISTINA: Jurnal Multidisiplin Indonesia 2, n.º 1 (1 de junho de 2023): 528–36. http://dx.doi.org/10.57235/qistina.v2i1.532.

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Resumo:

Indonesian capital market laws are regulated in Law Number. 8 of 1995 explains the notion of the capital market is an activity related to securities trading and public offerings between actors and issuers. Securities are financial instruments with a certain value that reflect the ownership of a person or business entity in an asset. An alternative term for securities is securities. Ownership of securities or securities is required to generate a return for the owner, according to the percentage of ownership of the asset. The Financial Services Authority (OJK) released risk management rules for implementing risk management in securities companies that are members of the stock exchange (AB). If they do not comply with this risk management policy, the securities company will be subject to sanctions ranging from a warning to revocation of its business license by the OJK. These rules are contained in POJK Number 6/POJK.04/2021 Concerning the Implementation of Risk Management for Securities Companies Conducting Business Activities as Underwriters and Broker-Dealers of Securities who are Members of the Stock Exchange. Accountability in the event of embezzlement of securities to investors in the event of embezzlement of investment funds by securities based on Regulation NUMBER 6 /POJK.04/2021 will be subject to administrative sanctions and the Financial Services Authority can take certain actions against any party who violates the provisions of the Financial Services Authority Regulation This.

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Wu, Maoguo, Hanyang Zhang e Kwok-Leung Tam. "Did the Introduction of Securities Margin Trading Decrease China’s A-Share Market Volatility?" International Journal of Financial Research 8, n.º 3 (12 de junho de 2017): 135. http://dx.doi.org/10.5430/ijfr.v8n3p135.

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Resumo:

Securities margin trading is a form of credit trading that is used extensively in mature securities markets. With the rapid development of its securities market, China introduced securities margin trading to its A-share market on 31st March 2010 for the purpose of reducing A-share market volatility. Owing to the fact that the introduction of securities margin trading in 2010 only applied to part of the A-share transaction targets, it can be treated as a natural experiment. This paper uses difference-in-differences analysis to investigate whether the introduction of securities margin trading in 2010 decreased China’s A-share market volatility. By selecting 50 underlying stocks of securities margin trading as a ‘treatment group’ and 50 non-underlying stocks as a ‘control group’, this paper utilizes a panel dataset comprising 100 stocks for the period 31st March 2009 – 31st March 2011. Results indicate that the introduction of securities margin trading in 2010 significantly decreased China’s A-share market volatility. In conclusion, this paper recommends that China reduces the barriers and transaction costs of securities margin trading, extends the supply of underlying stocks for securities lending, and enhances the capital supply of margin trading.

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