Risk Management in Chinese Securities Firms: A Case Study of Everbright Securities
Order Description
Title of your research project / study:
Risk Management in Chinese Securities Firms: A Case Study of Everbright Securities
1. Briefly describe the rationale, aims, design and research questions of your research
Please indicate clearly whether you are applying for ethics approval for a specific piece of research, or for overarching ethics approval to use certain 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. individuals or organisations), thematic focus and country/countries covered. Indicate whether the data are qualitative or quantitative, survey data, administrative data or other types of data. Identify the source from where you will be obtaining the data (including 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, signing of confidentiality agreement, specific training etc.). In many cases the data controller will have given explicit permission for data re-use. Please explain how you justify the use of data if approval and consents for the original data collection and re-use are not in place. This may be the case where, for example, the original data collection predated requirements for ethics review or occurred in a jurisdiction where explicit consent and approval are not required.
4. Do you intend to use personal data (https://ico.org.uk/media/1549/determining_what_is_personal_data_quick_reference_guide.pdf) or sensitive personal data (http://www.legislation.gov.uk/ukpga/1998/29/section/2) as defined 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 included and why.
5. Do you intend to link two or more datasets?
Data linkage refers to merging of information from two or more sources of data to consolidate facts concerning an individual or an event that are not available in any separate record. Please note that for the purposes of research ethics we are not interested in the merging of different waves of a particular survey, or the merging of data from different countries for the same survey.
Yes 0 No 0
If YES, please give details of which datasets will be linked and for what purposes.
7. How will you minimise the risk that data subjects (individuals or organisations) could be identified 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 individuals by combining characteristics (e.g. widow in Hampshire with 14 children) or by combining datasets. How will you protect individuals’ anonymity in your analysis and dissemination?
8. What other ethical risks are raised by your research, and how do you intend to manage these?
Issues may arise due to the nature of the research you intend to undertake and/or the subject matter of the data. Examples include: data or analysis that are culturally or socially sensitive; data relating to criminal activity, including terrorism, and security sensitive issues.
9. Please outline any other information that you feel may be relevant to this submission.
For example, will you be using the services or facilities of ONS, ADRN, or HSCIC and/or are you obtaining ethical review from NRES (through IRAS) or other? Please confirm whether the data being used are already in the public domain.
10. Please indicate if you, your supervisor or a member of the study team/research group are a data controller and/or data processor in relation to the data you intend to use as defined 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-definitions/).