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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