Online Thesis Search Results

TITLE
CERTIFICATE
DECLARATION
ACKNOWLEDGEMENT
CONTENTS
LIST OF TABLES
LISTOF FIGURES
1. INTRODUCTION
1.1 Emerging Role of Financial Services
1.2 Economic Background of Kerala
1.3 Statement of the Problem
1.4 Objectives of the Study
1.5 Necessity and Relevance of the Study
1.6 Methodology and Sample Design
1.7 Key Terms and Definitions
1.8 Limitations of the Study
1.9 Scheme of the Study
2. REVIEW OF LITERATURE
3. HISTORY AND GROWTH OF STOCK-BROKING IN INDIA AND KERALA
3.1 Nature of a Stock Exchange
3.2 Origin and Growth of Stock Exchanges in India
3.3 Organisation and Management of Stock Exchanges
T1 Rules, Bye-laws and Regulations of the Stock Exchange
3.4 Registration of Stockbrokers
3.5 Functional Specialisation among Members
3.6 Bombay Stock Exchange (BSE)
3.7 Formation of Other Exchanges
T2 Organisation of Recognised Stock Exchanges in India
3.8 Over the Trading Counter Exchange of (OTCEI)
3.9 National Stock Exchange of India Ltd. (NSE)
3.10 Cochin Stock Exchange (CSE) - A Profile
T3 Membership Profile in CSE
Fig. FI Membership Profile in CSE
T4 Statement of Turnover for the last Ten years
4. STOCK MARKET PRACTICES, INSTRUMENTS AND DEVICES
4.1 Stock Market Practices
4.2 Stock Market Instruments and Devices
T5 Institutions Lending Against the Security of Shares
5. PROBLEMS OF STOCK-BROKING IN KERALA
5.1 General Information
T6 Male-Female Distribution of Brokers
T7 Age-wise Distribution of Brokers
T8 Education Level of Brokers
Fig. F2 Education Level of Brokers of CSE
T9 District-wise Distribution of Brokers
Fig. F3 District-wise Distribution of Brokers at CSE
T10 Subscription of Business Newspaper
T11 Subscription of Business Periodicals
T12 Ability to Analyse Financial Statements
T13 X2 test to test the Association of Education Level of Brokers and Ability to Analyse Financial Statements
5.2 Primary Market Operations
T14 Table showing Primary Market Operations of Brokers
T15 Collection and Deposit of Application forms on behalf of Investors
T16 Table showing Adequacy of Brokerage
T17 Evaluation of Primary Issues and Other Securities
T18 Accuracy Level of Brokers
T19 Acceptance by Clients of Evaluation by Brokers
5.3 Secondary Market
T20 Buying and Selling of Shares on behalf of Clients
T21 Consultancy Service in the Secondary Market
T22 Acceptance of Recommendation in Secondary Market
T23 Table showing Brokerage Charged from Clients
T24 Conduct of Economic Analysis
T25 Conduct of Industry Analysis by Brokers
T26 Budgetary Analysis by Stockbrokers
T27 Adoption of Company Research by Brokers
T28 Statement showing the Number of Brokers Undertaking Transfer Service
T29 Custodial Service Rendered by Brokers
5.4 Marketing of Services
T30 Distribution effected through the Office
T31 Distribution Effected through sub-brokers or Authorised Assistants
T32 Distribution of Application Forms through Newspaper Insertion
T33 Distribution of Application Forms through Banks
Fig. F4 Distribution of Application forms of Primary Issues
T34 Marketing of Services in the Secondary Market
T35 Participation in Seminars, Symposia and Investors Conference
5.5 Accounting Methods and Practices
T36 Method of Accounting Adopted
T37 Adoption of Electronic System of Recording
T38 Preparation of Annual Accounts and Filing of returns.
6. OTHER PROBLEMS AND PROSPECTS OF STOCK-BROKING IN KERALA
6.1 Other Problems
T39 Statement showing Risk bearing Ability of Brokers
T40 Correlation between Age and Risk Averting Behaviour of Brokers
T41 Correlation between Age and Risk neutral Behaviour of Brokers
T42 Correlation between Age and Risk taking Behaviour of Brokers
T43 X2-test to test the Association of attributes of Education level and Risk bearing ability of Brokers
T44 Statement showing Adequacy of Financial Resources
T45 X2-test to test the Association of Relationship of Adequacy of Financial Resources and Risk bearing ability
T46 Statement showing Sources of Finance
Fig. F6 Sources of Finance of Brokers
T47 Table showing Speculative Tendency of Brokers
T48 Correlation between the Attributes of age and Speculative Behaviour of Brokers
T49 Brokers Opinion of Margin money and speculation
T50 Table showing Kerb Trading in Kochi
T51 Table showing the Experience of Backing out by Clients
T52 Settlement of the Risk of Backing out by Clients
T53 Statement showing Default of Brokers
T54 X2-test to test the Association of attributes of Backing out by clients and Default of Brokers
T55 X2-test to test the Relationship of attributes of Speculation and Default of Brokers
T56 Statement of Reasons for Default
Fig. F7 Reasons for Default of Brokers in CSE
T57 Statement showing the Receipt of Insider Information
T58 Statement showing the need for Training Programmes
T59 Brokers opinion regarding Margin requirements
6.2 Impact of SERI Regulations on Brokerage Firms
T60 Brokers opinion regarding SERI regulations
T61 Compliance of Code of Conduct by Brokers
6.3 Settlement of Disputes among Brokers
T62 Statement of Dispute among Brokers
T63 Statement of Reasons for Dispute among Brokers
T64 Statement of Disputes by Brokers referred for Arbitration
T65 Statement of Complaints by Clients against Brokers
T66 Brokers Opinion about he Performance of Investors Grievance Cell
6.4 Strengths and Opportunities of Broking Profession
T67 Statement of Brokers Opinion about Stock Market and Industrialisation
T68 Brokers Opinion about Employment Potential of Brokerage Industry
T69 Brokers Opinion about Wealth Generating Prospective of Stock Investment
T70 Statement of Brokers Opinion about Broking Profession
T71 Statement of Reasons for poor notion about stock-broking
7. FINDINGS AND RECOMMENDATIONS
7.1 General Findings
7.2 Specific Findings Related to Problems of Stock-broking
7.3 Recommendations
7.4 Conclusion
APPENDIX
SELECTED BIBLIOGRAPHY
INTERVIEW SCHEDULE
COMPANIES LISTED WITH COCHIN STOCK EXCHANGE LTD.
TYPICAL PROFIT & LOSS ACCOUNT & BALANCE SHEET OF STOCK BROKERS