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ASU Electronic Theses and Dissertations


This collection includes most of the ASU Theses and Dissertations from 2011 to present. ASU Theses and Dissertations are available in downloadable PDF format; however, a small percentage of items are under embargo. Information about the dissertations/theses includes degree information, committee members, an abstract, supporting data or media.

In addition to the electronic theses found in the ASU Digital Repository, ASU Theses and Dissertations can be found in the ASU Library Catalog.

Dissertations and Theses granted by Arizona State University are archived and made available through a joint effort of the ASU Graduate College and the ASU Libraries. For more information or questions about this collection contact or visit the Digital Repository ETD Library Guide or contact the ASU Graduate College at gradformat@asu.edu.


Resource Type
  • Doctoral Dissertation
Subject
Date Range
2011 2015


State-owned Enterprises (SOE) in China were described as Government Business Enterprises (GBE) in planned economy time. Not only as investor and owner, but also manager, government at that time was an all-powerful role in GBE. All factors of production, such as money, raw materials, production, sell, human affairs, were all decided by administrative orders. After reform and opening up, especially since 90s of last century, some related laws, including The Companies Act, were gradually promulgated and carried out, State-owned Enterprises have been found fairly like modern enterprises in appearance, but observe carefully, you will find that with the growing up …

Contributors
Shi, Lei, Hwang, Yuhchang, Chang, Chun, et al.
Created Date
2015

Using historical data from the third-party payment acquiring industry, I develop a statistical model to predict the probability of fraudulent transactions by the merchants. The model consists of two levels of analysis – the first focuses on fraud detection at the store level, and the second focuses on fraud detection at the merchant level by aggregating store level data to the merchant level for merchants with multiple stores. My purpose is to put the model into business operations, helping to identify fraudulent merchants at the time of transactions and thus mitigate the risk exposure of the payment acquiring businesses. The …

Contributors
Zhou, Ye, Chen, Hong, Gu, Bin, et al.
Created Date
2015

Forrest Research estimated that revenues derived from mobile devices will grow at an annual rate of 39% to reach $31 billion by 2016. With the tremendous market growth, mobile banking, mobile marketing, and mobile retailing have been recently introduced to satisfy customer needs. Academic and practical articles have widely discussed unique features of m-commerce. For instance, hardware constraints such as small screens have led to the discussion of tradeoff between usability and mobility. Needs for personalization and entertainment foster the development of new mobile data services. Given distinct features of mobile data services, existing empirical literature on m-commerce is mostly …

Contributors
Chou, Yen-Chun, Shao, Benjamin, St. Louis, Robert, et al.
Created Date
2013

There have been multiple calls for research on consumers' responses to social issues, regulatory changes, and corporate behavior. Thus, this dissertation proposes and tests a conceptual framework of parents' responses to government regulations and corporate social responsibility (CSR) that address juvenile obesity. This research builds on Attribution Theory to examine the impact of government regulations and CSR on consumers' attitudes and their subsequent behavior. Three pilot studies and three main experiments were conducted; a between-subjects and randomized experimental design being used to capture the effects of regulations and corporate actions on product satisfaction, company evaluations, and behavioral intentions, while examining …

Contributors
Dumitrescu, Claudia State, Shaw Hughner, Renée, Schmitz, Troy G., et al.
Created Date
2013

The objective of this dissertation is to empirically analyze the results of the retail location decision making process and how chain networks evolve given their value platform. It employs one of the largest cross-sectional databases of retailers ever assembled, including 50 US retail chains and over 70,000 store locations. Three closely related articles, which develop new theory explaining location deployment and behaviors of retailers, are presented. The first article, "Regionalism in US Retailing," presents a comprehensive spatial analysis of the domestic patterns of retailers. Geographic Information Systems (GIS) and statistics examine the degree to which the chains are deployed regionally …

Contributors
Joseph, Lawrence, Kuby, Michael, Matthews, Richard, et al.
Created Date
2013

This thesis starts with an analysis of the current situation of the pharmaceutical industry in China, and discusses the strategic mergers and acquisitions (M&A) by small and medium-sized enterprises (SMEs) in the pharmaceutical industry in China. It elaborates on the rationale for the development of the mergers and acquisitions of the pharmaceutical SMEs. Then a literature review is provided on the causes of corporate mergers and acquisitions such as the economies of scale, synergistic effect, transaction costs, market power, and strategic diversification.Next,the thesis analyzes the underlying rationale for the M&A transactions in the pharmaceutical industry in China, and explores the …

Contributors
Zhou, Yan, Pei, Ker-Wei, Chen, Hong, et al.
Created Date
2015

In this study I investigate the organizational strategies that Chinese power generation companies may use to reduce the impact of coal price increases on their profits. Organizations are open systems in that no organization possesses all the resources that it needs and all organizations must obtain resources from their external environments in order to survive. Resource dependent theory suggests that the most important goal of an organization is to find effective mechanisms to cope with its dependence on the external environments for resources that are critical to its survival. Chinese power generation companies traditionally rely heavily on coal as their …

Contributors
Sun, Min, Shen, Wei, Liu, Jun, et al.
Created Date
2015

Original equipment manufacturers (buyers) are increasingly involving suppliers in new product development as a means to increase efficiency and expand capabilities. To realize such benefits, however, the two firms need to have appropriate communication and goal structures to minimize friction while maximizing design quality. In addition, the effectiveness of the inter-firm interaction process, i.e. their collaboration quality, is also a key success factor. This study draws from Information Process Theory to propose that higher technical and relational uncertainty requires more inter-firm communication. The misalignment between communication intensity and uncertainty reduces both design quality and design efficiency. Goal incongruence, which always …

Contributors
Yan, Tingting, Dooley, Kevin, Choi, Thomas, et al.
Created Date
2011

In order to cope with the decreasing availability of symphony jobs and collegiate faculty positions, many musicians are starting to pursue less traditional career paths. Also, to combat declining audiences, musicians are exploring ways to cultivate new and enthusiastic listeners through relevant and engaging performances. Due to these challenges, many community-based chamber music ensembles have been formed throughout the United States. These groups not only focus on performing classical music, but serve the needs of their communities as well. The problem, however, is that many musicians have not learned the business skills necessary to create these career opportunities. In this …

Contributors
Dalbey, Jenna Marguerite, Landschoot, Thomas, Mclin, Katherine, et al.
Created Date
2013

The current study combines field study, survey study, and public financial reports, and conducts an in-depths comprehensive study of the cost of the global tire industry. By comparing the price and the total cost structure of standardized tire products, we investigate Chinese tire industry’s global competitiveness, especially in light of China’s fast increasing labor cost. By constructing a comprehensive cost index (CCI), this dissertation estimates the evolution and forecasts the trend of global tire industry’s cost structure. Based on our empirical analysis, we provide various recommendations for Chinese tire manufacturers, other manufacturing industries, and foreign trade policy makers. Dissertation/Thesis

Contributors
Zhang, Ning, Zhu, Ning, Shen, Wei, et al.
Created Date
2015

This dissertation analyzes the reliability of reported employee stock option (ESO) expense, the determination of expected life of ESOs, motivations to manipulate ESO expense, and the impact of noise in ESO expense on subsequent stock price returns. Based on unique data, this is the first paper to measure average historical ESO life for all employees of a broad set of firms. I find average life has a mean of 4.12 years. Average life is reduced by 0.38 years per 10 percentage point increase in volatility, and industry effects explain an additional 7% of the variation. Reported expected life increases 0.37 …

Contributors
Young, Brian, Coles, Jeffrey, Hertzel, Michael, et al.
Created Date
2011

Financing lease has bloomed as a new financing tool in China for the last several years. In this thesis I investigate the factors that influence China’s automobile financial leasing decisions by both lessors and lessees through market surveys. Based on Probit regression analysis of the data collected from 250 companies and 300 individuals, I find that a firm is more likely to use automobile financial leasing when its corporate tax rate is lower, growth potential is more stabilized, and profit is higher. It is also more likely to happen when a firm's long-term debt ratio and its degree of internationalization …

Contributors
Lin, Zhen, Zhang, Anming, Pei, Ker-Wei, et al.
Created Date
2015

Researchers lament that feedback interventions often fail. Traditional theories assume a cognitive relationship between the receipt of feedback and its impact on employee performance. I offer a theoretical model derived from Affective Events and Broaden and Build Theories to shed new light on the feedback-performance relationship. I bridge the two primary streams of feedback literature-the passive receipt and active seeking-to examine how employees' affective responses to feedback drive how they use feedback to improve performance. I develop and test a model whereby supervisor developmental feedback and coworker feedback seeking relate to the positivity ratio (the ratio of positive as compared …

Contributors
Christensen, Amanda L., Kinicki, Angelo, Zhang, Zhen, et al.
Created Date
2014

In this study I investigate the factors that may influence consumer preference and choice in China’s home interior decoration industry. With the fast development of information technology such as the internet in China, it becomes increasingly important to have a more precise understanding of consumer preference and choice in home interior decoration decisions so that companies in this industry can provide better services to meet customer needs. Using survey data from a sample of potential customers and a sample of existing customers of a large home interior decoration company, I find that (1) internet has become the mostly used channel …

Contributors
Yang, Jin, Shen, Wei, Zhang, Anmin, et al.
Created Date
2015

In this thesis I examine the opportunities and challenges faced by the community banks in China. Rooted in the local communities, community banks generally focus on serving the local residents, farmers, and micro and small business enterprises (MSBE) through relationship building. Although community banks tend to be small relative to the other financial institutions, their unique market positions and business strategies have helped them to survive the competition and secure some market shares. Thus, it is important to understand the business strategies of community banks and to explore their future business opportunities and challenges. I first provide a brief overview …

Contributors
Hou, Funing, Li, Feng, Wang, Jiang, et al.
Created Date
2015

Knowledge Management Systems have been actively promoted for decades within organizations but have frequently failed to be used. Recently, deployments of enterprise social networking platforms used for knowledge management have become commonplace. These platforms help harness the knowledge of workers by serving as repositories of knowledge as well as directories of knowledge holders. As with prior systems, a key challenge faced by organizations is how to initiate and maintain a minimum level of knowledge contributions. Existing IS literature on the causes of knowledge contributions shows conflicting findings. This work suggests that human factors, social networking platform technology and community factors, …

Contributors
Kettles, Degan John, St. Louis, Robert, David, Julie S, et al.
Created Date
2012

Today's competitive markets force companies to constantly engage in the complex task of managing their demand. In make-to-order manufacturing or service systems, the demand of a product is shaped by price and lead times, where high price and lead time quotes ensure profitability for supplier, but discourage the customers from placing orders. Low price and lead times, on the other hand, generally result in high demand, but do not necessarily ensure profitability. The price and lead time quotation problem considers the trade-off between offering high and low prices and lead times. The recent practices in make-to- order manufacturing companies reveal …

Contributors
Hafizoglu, Ahmet Baykal, Gel, Esma S, Villalobos, Jesus R, et al.
Created Date
2012

Mutual monitoring in a well-structured authority system can mitigate the agency problem. I empirically examine whether the number 2 executive in a firm, if given authority, incentive, and channels for communication and influence, is able to monitor and constrain the potentially self-interested CEO. I find strong evidence that: (1) measures of the presence and extent of mutual monitoring from the No. 2 executive are positively related to future firm value (Tobin's Q); (2) the beneficial effect is more pronounced for firms with weaker corporate governance or CEO incentive alignment, with stronger incentives for the No. 2 executives to monitor, and …

Contributors
Li, Zhichuan, Coles, Jeffrey, Hertzel, Michael, et al.
Created Date
2012

Information technology (IT) outsourcing, including foreign or offshore outsourcing, has been steadily growing over the last two decades. This growth in IT outsourcing has led to the development of different hubs of services across nations, and has resulted in increased competition among service providers. Firms have been using IT outsourcing to not only leverage advanced technologies and services at lower costs, but also to maintain their competitive edge and grow. Furthermore, as prior studies have shown, there are systematic differences among industries in terms of the degree and impact of IT outsourcing. This dissertation uses a three-study approach to investigate …

Contributors
Mann, Arti, Kauffman, Robert J, Santanam, Raghu, et al.
Created Date
2012

In accordance with the Principal Agent Theory, Property Right Theory, Incentive Theory, and Human Capital Theory, firms face agency problems due to “separation of ownership and management”, which call for effective corporate governance. Ownership structure is a core element of the corporate governance. The differences in ownership structures thus may result in differential incentives in governance through the selection of senior management and in the design of senior management compensation system. This thesis investigates four firms with four different types of ownership structures: a public listed firm with the controlling interest by the state, a public listed firm with a …

Contributors
Gao, Shenghua, Pei, Ker-Wei, Li, Feng, et al.
Created Date
2015

Before 1990s, the relationship between money supply and inflation was positively correlated, however, from 1990 onwards, the US and other major developed countries entered into a new financial era with a typical belief that hyper money supply coexisted with lower inflation. This phenomenon is called “the paradox of inflation”. Traditional theories cannot provide reasonable explanations of this new phenomenon. In my study, I have taken the linear filtering techniques which Lucas developed in 1980, and the recursive estimation method, as well as the chow test and F-test, and choose the data of the US, Britain, Japan, Germany, Euro area, BRICKs …

Contributors
Cao, Tong, Prescott, Edward C, Liu, Jun, et al.
Created Date
2015

The key chanllenge for Small and Micro Enterprises (SMEs) to get credit or loans is the fact that traditional financing business model in commercial banks cannot meet SMEs’ financial needs. Through extensive theoretical research, market analysis especially on SMEs’ behavioral characteristics and demands, serveral case studies on market-leading banks such as Wells Fargo and KASIKORN BANK, and the actual implementation experiences in China Minsheng Bank and Pingan Bank, this article proposes a new business model for servicing SMEs for commercial banks in China, which includes the principle and rationale of the business model, the technical foundation, business process and organizational …

Contributors
Zhao, Jichen, Chen, Hong, Pei, Ker-Wei, et al.
Created Date
2015

The city of Shanghai is set to become an international financial center (IFC) by 2020. To achieve this goal, it is imperative to clearly define the key characteristics of an IFC. In this study I draw from recent research on the ranking of IFCs to develop an index of these key characteristics that can be used to assess a city’s standings as an IFC. Based on a review of prior research, I first put together a comprehensive list of the indicators that have been used to evaluate IFCs, which includes six first-level indicators and 34 second-level indicators. I then collect …

Contributors
Wang, Weiren, Yao, David, Gu, Bin, et al.
Created Date
2015

This study investigates three issues that are relevant for the development of multinational investment banks in China. The first is about the domestic market conditions that are necessary for a country to develop multinational investment banks. The second issue is about the degree to which China has met these conditions. The last issue focuses on the potential strategies Chinese investment banks can undertake to become multinational corporations. To address the first issue, I draw an important distinction between international investment banks and multinational investment banks. For an international investment bank to be regarded as a multinational, I propose that it …

Contributors
Liu, Xin, Chang, Chun, Shen, Wei, et al.
Created Date
2015

With years of continuous Chinese economic growth and accelerating aging population, better serving the changing demands in wealth management has become the new market development directions. As evidenced in international experiences, the embedded nature of privacy and isolation of managed assets in the trust business have demonstrated built-in consistency with the needs of high-end wealth management and inheritance; hence, trust has become a very fitting vehicle for wealth management. By 2014, total assets under trust management have reached RMB14trillion. However, there is as yet a massive gap between the current service levels received by high net worth individuals and their …

Contributors
Zhao, Nuan, Wang, Jiang, Gu, Bin, et al.
Created Date
2015

The Chinese capital market is characterized by high segmentation due to governmental regulations. In this thesis I investigate both the causes and consequences of this market segmentations. Specifically, I address the following questions: (1) to which degree this capital market segmentation is caused by the fragmented regulations in China, (2) what are the key characteristics of this market segmentation, and (3) what are the impacts of this market segmentation on capital costs and resources allocations. Answers to these questions can have important implications for Chinese policy makers to improve capital market regulatory coordination and efficiency. I organize this thesis as …

Contributors
Jia, Shaojun, Hwang, Yuhchang, Chen, Hong, et al.
Created Date
2015

This dissertation is an exploratory study that examined the differences in perceptions about supply chain management strategy, topics, tools, and techniques between procurement professionals in public and private sector organizations. This was accomplished through a survey of procurement professionals in a Fortune 500 company and a municipality in Arizona. The data were analyzed to understand how perceptions of supply chain management differed within this sample and whether the differences in perceptions were associated with formal education levels. Key findings indicate that for this or similar samples, public procurement respondents viewed their organizations' approach to supply chain management as a narrow …

Contributors
Heller, Jacob Anthony, Cayer, Joseph, Lan, Gerald, et al.
Created Date
2013

Although China’s economy has experienced fast growth over the years, it is also characterized by a lack of innovative products and slow development of advanced production technologies. A main reason for this problem is insufficient investments in research and development (R&D) activities by Chinese firms. Because of the potential externality and free-rider effects, the economics literature has long suggested that the private sector tends to underinvest in R&D without governmental interventions. The weak protection of intellectual property rights in China makes the problem of underinvestment in R&D even worse. In this situation, it becomes increasingly important for the government to …

Contributors
Yang, Guisheng, Hwang, Yuhchang, Wang, Tan, et al.
Created Date
2015

The microfinance industry provides financial services to the world's poor in hopes of moving individuals and families out of poverty. This dissertation document suggests that information and communication technologies (ICTs) are changing the microfinance industry, especially given recent advancements in mobile banking, Internet usage and connectivity, and a decreasing digital divide. These impacts are discussed in three essays. First, ICTs impact intermediation among various players in the microfinance industry. Second, ICTs impact the extent to which microfinance institutions (MFIs) extend their outreach to poorer or more geographically remote borrowers. Finally, ICTs impact the location of decision rights given newly forming …

Contributors
Weber, David M., Riggins, Frederick J., Kulkarni, Uday R., et al.
Created Date
2012

This study investigates the impact of portfolio disclosure on hedge fund performance. Using a regression discontinuity design, I investigate the effect of the disclosure requirements that take effect when an investment company's assets exceed $100 million; when that occurs, a fund is required by the SEC to submit form 13F disclosing its portfolio holdings. Consistent with the argument that portfolio disclosure reveals "trade secrets" and also raises front running costs thus harms the funds that disclose, I find that there is a drop in fund performance (about 4% annually) after a fund begins filing form 13F, as well as an …

Contributors
Shi, Zhen, Hertzel, Michael, Aragon, George, et al.
Created Date
2011

In this study I investigate the organizational mechanisms (pathways) through which strategic investors can help a firm improve performance. Many commercial banks in China have recently invited foreign banks as strategic investors since China’s entry into the World Trade Organization (WTO), hoping to gain managerial and technological knowhow from the foreign banks. Using Shanghai Pudong Development Bank as a representative example, I conduct an in-depth qualitative analysis about how the joining of Citi Bank as a strategic investor has helped the local Chinese bank improve its financial performance. On the basis of a comprehensive review of the relevant literature, I …

Contributors
Liu, Xinyi, Pei, Ker-Wei, Chen, Hong, et al.
Created Date
2015

Accompanying with the development of economy system and the completion of legal framework, Chinese domestic PE industry not only transfused vigor and vividness to capital market, but also generated contribution to substantial economy with a rapid pace in recent decades. Depending on the first move advantage and an affinity with Chinese government, PE industry initially was led by state-owned enterprises. However, these non-market-oriented PE institutions confronted challenge from the perspective of culture, structure and mechanism and crises of outflow of human capital and lacking capability of sustainable development while private section and foreign capital enter the market. Based on the …

Contributors
Chen, Zhihai, Wang, Tan, Hwang, Yuhchang, et al.
Created Date
2015

Private labels command a growing share of food retailers' shelf space. In this dissertation, I explain this phenomenon as resulting from "umbrella branding," or the ability of a single brand to reach across categories. Conceptually, I define umbrella branding as a behavioral attribute that describes a shopper's tendency to ascribe a performance bond to a brand, or to associate certain performance characteristics to a private label brand, across multiple categories. In the second chapter, I describe the performance bond theory in detail, and then test this theory using scanner data in the chapter that follows. Because secondary data has limitations …

Contributors
Theron, Sophie Winter, Richards, Timothy J, Grebitus, Carola, et al.
Created Date
2014

There has been much debate in the world of academia over the valuation of conglomerates. This thesis proposes the use of the EVA theory in explaining fluctuations in conglomerates’ valuation, and we believe that ROIC, WACC, and ROIC-WACC are three indicators that to a certain extent explain these valuation fluctuations. Through analysis of a sample containing 23 conglomerates, this thesis finds that ROIC, WACC, and ROIC-WACC exhibit positive correlation with valuation fluctuations. In the case study on Fosun, this thesis finds that ROIC-WACC is highly correlated with Fosun’s valuation fluctuations and next with ROIC. Thus this thesis conjectures that for …

Contributors
Liang, Xinjun, Chen, Hong, Pei, Ker-Wei, et al.
Created Date
2015