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TITLE
CERTIFICATE
DECLARATION
ACKNOWLEDGEMENT
CONTENTS
LIST OF TABLES
I. Introduction
Problem in Brief
Objectives of the Study
Hypothesis
Variables studied
Database and Methodology
Survey Design
Pilot Study
Collection and Analysis of Data
Resume of the Work Done
Reference Period
Concepts and Definitions used in the study
Nature and Significance of Corporate Securities
I. Ownership Securities
2. Creditorship securities
Limitations of the Study
Presentation of the study
FOOT NOTES
II. Risk Management
1) Market risk
2) Counterparty risk
3) Operational risk
The process of Risk Management
a) Risk identification
b) Risk measurement
2.1 Risk Measurement - The probability approach
c) Risk control
Definitions of Risk Management
Importance of Risk Management
a) Managing volatility
b) Avoiding disasters
c) Risk identified
d) Measuring risks
e) Risk control
f) Guiding the investor
g) Profit timing
h) Avoiding panic selling
Risk Management in the Indian Scenario
Objectives of Risk Management
An overview of the existing theories and techniques of evaluating securities
Investment-Definition
Features of lnvestment
a. Return
b. Risk
c.Safety of Capital
d. Liquidity
Need for Investment
Inflation
Income
Planning for retirement
lncreasing rates of taxation
Interest Rates
lnvestment channels
Theories of Evaluation of Securities
1. The fundamental approach
The Intrinsic Value
Economy - industry - company Analysis Framework
Fig. 2.1 Source: Kevin S, Portfolio mnnngement, Prentice Hall of IndiaPvt. Ltd., New Delhi, 2000. P.28
2.The Technical Approach
The Basic assumptions of technical analysis
The Dow Theory
Primary Trend
Secondary Trend
Minor Trends
Fig 2.2 Primary trend and secondary reactions
3. The Efficient Market Approach
Forms of the Efficient Market Hypothesis
A.The Weak Form
B.The Semi-strong form
C.The Strong Form
FOOT NOTES
III. Review of the Literature
FOOT NOTES
IV. Management of Risk Factors by Investors in Kerala
Classification of risk
4.1 Profile of Investor Respondents
Age and Sex-wise profile of respondents
Occupational Analysis of Investors
Analysis of Experience of Investors in Stock Market Operations
4.2 Experience of Investors in Stock Market Operations
Participation of Investors in Stock Market Operations
4.3 Participation of Investors in the Stock Market
Reasons for Not Actively Operating in the Stock Market
4.4 Reason for not Actively Operating in the Stock Market
Loss due to Political and International Reasons
Management of Risks by Investors
4.5 Loss due to Political and International Reasons
Precautions to Cover Political Risk
4.6 Investors Precaution to Cover Political Risk
4.7 Experience of Investors and Precaution against Political risk.
4.8 Chi-square analysis to test the gender difference in the matter of dealing with political risk
4.9 Political risk and loss suffered
Risk of Bad Delivery
Risk of Forged Share Certificates
4.10 Bad delivery - Zonal break-up
Risk of Delayed Delivery and Delayed Payment
4.11 Risk of forged share certificates - Zonal break-up
4.12 Delay in delivery and Delay in payment
4.13 Causes of delayed delivery
Delayed Payment
4.14 The extent of delay
Responsiveness of Investors
4.15 Responsiveness of investors
Risk of Loss of Share Certificate
Risk of Odd lots
4.16 Loss of share certificates
Dematerialisation
4.17 Management of odd lots
4.18 Dematerialisation - Zonal break-up
Default Risk
4.19 Default of interest payment by the issuers
Inflation risk
Market Risk
4.20 Precaution against market risk
Holding securities of vanished companies
4.21 Holding shares of vanishing companies
4.22 Shares held in the vanished companies
4.23 Mystery of the disappearing companies
4.24 Distribution of companies according to primary listing in 2001.
Maintaining records of transactions by the investors
Finance
4.25 Countering financial difficulties
Short sale
4.26 Effecting short sale
Evaluation of Budgets
Diversification
4.27 Reasons for diversification of portfolios
4.28 Diversification and expected rate of return.
Application of theories of evaluating securities
4.29 Application of theories of evaluating securities
4.30 Effectiveness of applying theories
Regular evaluation of Securities and Revision of Portfolios
Seeking advice from brokers
4.31 Evaluation and revision of portfolios
4.32 Seeking advice of brokers or consultants
Investor Protection
4.33 Investor Broker relationship
Ratings of publications about new equity issues
4.34 Effectiveness of ratings of unofficial publications
Stress management by investors
4.35 Methods applied by investors to reduce stress
Attending Company Meetings
4.36 Reasons for not attending company meetings
FOOT NOTES
V. Criteria for Investment Decisions and Risk Management
Investment in shares
5.1 Investment in shares (Zonal break-up)
Experience of investors in stock market operations
5.2 Investment in shares and experience of investors in stock market operations.
Investment in Primary Market and Secondary Market
5.3 Investment in the secondary market
Debt beats equity in the primaries
5.4 Fund mobilisation through I.P.Os
5.5 Investment in the secondary market
5.6 Age of investors and investment in the secondary market
5.7 Reasons for making investment in shares
5.8 Deciding factor of investment in shares
5.9 Experience and deciding factors of investment
Type of shares selected by investors
5.10 Type of shares selected by investors for investment
5.11 Experience of investors in stock market operations and the type of shares they prefer to buy
Diversion of Funds from the Stock Market
5.12 Diversion of funds from the stock market
5.13 Reasons for diverting the funds from the stock market
5.14 Objectives of investment and diversion of funds
5.15 Diversion of funds and investment in the subdivisions of the capital market
5.16 Diversion of funds and type of share in which investment is made
5.17 Speculative involvement - zonal break-up
5.18 Profitability of speculative business
5.19 Net gain from speculation - zonal break-up
5.20 Age and speculation
5.21 Experience in the share market and speculation
5.22 Speculation and diversion of funds
FOOT NOTES
VI. Summary of Findings, Conclusion and Suggestions.
Methodology of the study
Section A
Summary of Chapters
FINDINGS
Section B
CONCLUSION
Section C
Suggestions
Scope For Future Research
BIBILIOGRAPHY
I. BOOKS
II.ARTICLES
III. REPORTS
IV.WEBSITES VISITED
APPENDIX
SURVEY ON THE MANAGEMENT ASPECTS OF RISK FACTORS OF INVESTING IN CORPORATE SECURITIES