Risk Management in Chinese Securities Firms: A Case Study of Everbright Securities

Risk Management in" rel="nofollow">in Chin" rel="nofollow">inese Securities Firms: A Case Study of Everbright Securities Order Description Title of your research project / study: Risk Management in" rel="nofollow">in Chin" rel="nofollow">inese Securities Firms: A Case Study of Everbright Securities 1. Briefly describe the rationale, aims, design and research questions of your research Please in" rel="nofollow">indicate clearly whether you are applyin" rel="nofollow">ing for ethics approval for a specific piece of research, or for overarchin" rel="nofollow">ing ethics approval to use certain" rel="nofollow">in datasets for a range of research activities. Approval for the latter will only cover the datasets specified here, for a maximum of 3 years and then subject to renewal. 2. Describe the data you wish to analyse Please give details of the title of the dataset, nature of data subjects (e.g. in" rel="nofollow">individuals or organisations), thematic focus and country/countries covered. Indicate whether the data are qualitative or quantitative, survey data, admin" rel="nofollow">inistrative data or other types of data. Identify the source from where you will be obtain" rel="nofollow">inin" rel="nofollow">ing the data (in" rel="nofollow">includin" rel="nofollow">ing a web address where appropriate). 3. What are the terms and conditions around the use of the data? Did data subjects give consent for their data to be re-used? If not, on what basis is re-use of the data justified? Please state what (if any) conditions the data archive imposes (e.g. registration, signin" rel="nofollow">ing of confidentiality agreement, specific train" rel="nofollow">inin" rel="nofollow">ing etc.). In many cases the data controller will have given explicit permission for data re-use. Please explain" rel="nofollow">in how you justify the use of data if approval and consents for the origin" rel="nofollow">inal data collection and re-use are not in" rel="nofollow">in place. This may be the case where, for example, the origin" rel="nofollow">inal data collection predated requirements for ethics review or occurred in" rel="nofollow">in a jurisdiction where explicit consent and approval are not required. 4. Do you in" rel="nofollow">intend to use personal data (https://ico.org.uk/media/1549/determin" rel="nofollow">inin" rel="nofollow">ing_what_is_personal_data_quick_reference_guide.pdf) or sensitive personal data (http://www.legislation.gov.uk/ukpga/1998/29/section/2) as defin" rel="nofollow">ined by the Data Protection Act (even if the data are publicly available)? Yes 0 No 0 If YES, please specify what personal data will be in" rel="nofollow">included and why. 5. Do you in" rel="nofollow">intend to lin" rel="nofollow">ink two or more datasets? Data lin" rel="nofollow">inkage refers to mergin" rel="nofollow">ing of in" rel="nofollow">information from two or more sources of data to consolidate facts concernin" rel="nofollow">ing an in" rel="nofollow">individual or an event that are not available in" rel="nofollow">in any separate record. Please note that for the purposes of research ethics we are not in" rel="nofollow">interested in" rel="nofollow">in the mergin" rel="nofollow">ing of different waves of a particular survey, or the mergin" rel="nofollow">ing of data from different countries for the same survey. Yes 0 No 0 If YES, please give details of which datasets will be lin" rel="nofollow">inked and for what purposes. 7. How will you min" rel="nofollow">inimise the risk that data subjects (in" rel="nofollow">individuals or organisations) could be identified in" rel="nofollow">in your presentation of results? Please consider whether disclosive ID codes have been used (e.g. date of birth) and whether it is theoretically possible to identify in" rel="nofollow">individuals by combin" rel="nofollow">inin" rel="nofollow">ing characteristics (e.g. widow in" rel="nofollow">in Hampshire with 14 children) or by combin" rel="nofollow">inin" rel="nofollow">ing datasets. How will you protect in" rel="nofollow">individuals’ anonymity in" rel="nofollow">in your analysis and dissemin" rel="nofollow">ination? 8. What other ethical risks are raised by your research, and how do you in" rel="nofollow">intend to manage these? Issues may arise due to the nature of the research you in" rel="nofollow">intend to undertake and/or the subject matter of the data. Examples in" rel="nofollow">include: data or analysis that are culturally or socially sensitive; data relatin" rel="nofollow">ing to crimin" rel="nofollow">inal activity, in" rel="nofollow">includin" rel="nofollow">ing terrorism, and security sensitive issues. 9. Please outlin" rel="nofollow">ine any other in" rel="nofollow">information that you feel may be relevant to this submission. For example, will you be usin" rel="nofollow">ing the services or facilities of ONS, ADRN, or HSCIC and/or are you obtain" rel="nofollow">inin" rel="nofollow">ing ethical review from NRES (through IRAS) or other? Please confirm whether the data bein" rel="nofollow">ing used are already in" rel="nofollow">in the public domain" rel="nofollow">in. 10. Please in" rel="nofollow">indicate if you, your supervisor or a member of the study team/research group are a data controller and/or data processor in" rel="nofollow">in relation to the data you in" rel="nofollow">intend to use as defin" rel="nofollow">ined by the Data Protection Act, and confirm that you/they understand your/their respective responsibilities https://ico.org.uk/for-organisations/guide-to-data-protection/key-defin" rel="nofollow">initions/).