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    • All HBS Web  (1,129)
      • Faculty Publications  (208)

      Capital ControlsRemove Capital Controls →

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      • November 2008
      • Case

      HNA Group: Moving China's Air Transport Industry in a New Direction

      By: William C. Kirby, F. Warren McFarlan and Tracy Manty
      HNA Group, the parent company of Hainan Airlines, was positioning itself to go global and make a mark for itself as the largest private airline in China. Positioned squarely behind the "Big Three" state-owned carriers, Hainan Airlines sought to create a world-class... View Details
      Keywords: Global Strategy; Management Practices and Processes; Private Ownership; Competitive Advantage; Air Transportation Industry; China
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      Kirby, William C., F. Warren McFarlan, and Tracy Manty. "HNA Group: Moving China's Air Transport Industry in a New Direction." Harvard Business School Case 309-029, November 2008.
      • October 2008
      • Case

      Financial Crisis in Asia: 1997-1998 (Abridged)

      By: Huw Pill, Rafael M. Di Tella and Jonathan Schlefer
      What caused the 1997-98 Asia Crisis: Asian nations' poor economic management, international financial contagion, close "crony" relations between local politicians and capitalists? This case examines how the crisis erupted in Thailand and spread in a chain of events... View Details
      Keywords: Developing Countries and Economies; Financial Crisis; Ethics; Financial Institutions; Financial Management; Governing Rules, Regulations, and Reforms; Business and Government Relations; Asia
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      Pill, Huw, Rafael M. Di Tella, and Jonathan Schlefer. "Financial Crisis in Asia: 1997-1998 (Abridged)." Harvard Business School Case 709-004, October 2008.
      • September 2008 (Revised September 2011)
      • Background Note

      Note: Credit Rating Agencies

      By: William E. Fruhan
      The note examines the role of credit rating agencies in capital markets, with emphasis on the role of these agencies in the recent credit crisis and recommendations for change. View Details
      Keywords: Financial Crisis; Capital Markets; Credit; Governing Rules, Regulations, and Reforms; Standards
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      Fruhan, William E. "Note: Credit Rating Agencies." Harvard Business School Background Note 209-056, September 2008. (Revised September 2011.)
      • Article

      Czech Mate: Expropriation and Investor Protection in a Converging World

      By: Mihir A. Desai and Alberto Moel
      This paper examines the expropriation of a foreign investor by a local partner and the subsequent resolution of that case through international arbitration in favor of the investor. Despite the investor's 99% interest in joint venture, the local partner managed to... View Details
      Keywords: Joint Ventures; Capital Markets; Foreign Direct Investment; Geographic Location; Multinational Firms and Management; Governance Controls; Courts and Trials; Rights; Czech Republic; United States
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      Desai, Mihir A., and Alberto Moel. "Czech Mate: Expropriation and Investor Protection in a Converging World." Review of Finance 12, no. 1 (2008): 221–251. (This paper is a revised version of ECGI Working Paper No. 62/2004.)
      • Fourth Quarter 2007
      • Article

      Contingent Claims Approach to Measuring and Managing Sovereign Credit Risk

      By: Dale . F. Gray, Robert C. Merton and Zvi Bodie
      This paper proposes a new approach to measure, analyze, and manage sovereign risk based on the theory and practice of modern contingent claims analysis (CCA). The paper provides a new framework for adapting the CCA model to the sovereign balance sheet in a way that can... View Details
      Keywords: Credit; Investment; Sovereign Finance; Risk Management; Emerging Markets; Market Transactions; Mathematical Methods; Valuation
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      Gray, Dale . F., Robert C. Merton, and Zvi Bodie. "Contingent Claims Approach to Measuring and Managing Sovereign Credit Risk." Special Issue on Credit Analysis. Journal of Investment Management 5, no. 4 (Fourth Quarter 2007): 5–28.
      • 2007
      • Chapter

      Labor Market Regulations and European Venture Capital Investment

      By: Ant Bozkaya and William R. Kerr
      Keywords: Venture Capital; Investment; Human Capital; Governing Rules, Regulations, and Reforms; Government and Politics; Business and Government Relations; Europe
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      Bozkaya, Ant, and William R. Kerr. "Labor Market Regulations and European Venture Capital Investment." In European Productivity Conference Scientific Proceedings, edited by Pekka Malmberg, 165–172. Helsinki, Finland: Paintek Oy, 2007.
      • May 2007
      • Article

      Capital Flows and Capital Goods

      By: Laura Alfaro and Eliza Hammel
      Studying the relation between equity market liberalization and imports of capital goods, we examine one channel through which international financial integration can promote growth. For the period 1980–1997, we find that after controlling for other policies and... View Details
      Keywords: Cash Flow; Equity; Financial Markets; Economy; Distribution Channels; Machinery and Machining; Capital
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      Alfaro, Laura, and Eliza Hammel. "Capital Flows and Capital Goods." Journal of International Economics 72, no. 1 (May 2007): 128–150. (Link to working paper version.)
      • 2007
      • Book

      Capital Rules: The Construction of Global Finance

      By: Rawi Abdelal
      Keywords: Capital; Governing Rules, Regulations, and Reforms; Finance
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      Abdelal, Rawi. Capital Rules: The Construction of Global Finance. Cambridge, MA: Harvard University Press, 2007.
      • January 2007 (Revised August 2007)
      • Case

      Lobbying for Love? Southwest Airlines and the Wright Amendment

      By: Felix Oberholzer-Gee, Dennis A. Yao, Libby Cantrill and Patricia Wu
      The fall of 2004 brought exciting news to Love Field, the Texas headquarters of Southwest Airlines. Delta Airlines, one of Southwest's main competitors, had announced that it would dramatically decrease service from the nearby Dallas/Fort Worth International (DFW)... View Details
      Keywords: Governing Rules, Regulations, and Reforms; Government Legislation; Business and Government Relations; Opportunities; Competitive Advantage; Air Transportation Industry; Texas
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      Oberholzer-Gee, Felix, Dennis A. Yao, Libby Cantrill, and Patricia Wu. "Lobbying for Love? Southwest Airlines and the Wright Amendment." Harvard Business School Case 707-470, January 2007. (Revised August 2007.)
      • Article

      The Effect of Dividends on Consumption

      By: Malcolm Baker, Stefan Nagel and Jeffrey Wurgler
      Classical models predict that the division of stock returns into dividends and capital appreciation does not affect investor consumption patterns, while mental accounting and other economic frictions predict that investors have a higher propensity to consume from... View Details
      Keywords: Investment; Investment Return; Economics; Stocks; Capital; Business Earnings; Investment Portfolio; Investment Funds; Cost; Saving
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      Baker, Malcolm, Stefan Nagel, and Jeffrey Wurgler. "The Effect of Dividends on Consumption." Brookings Papers on Economic Activity, no. 1 (2007): 277–291.
      • December 2006 (Revised January 2007)
      • Case

      Restructuring Navigator Gas Transport Plc

      By: C. Fritz Foley
      How should creditors pursue their claims in a multi-jurisdiction bankruptcy? David Butters, Managing Director at Lehman Brothers, negotiates a restructuring of Navigator Gas Transport, a shipping company that is headquartered in Switzerland, incorporated in the Isle of... View Details
      Keywords: Management Teams; Insolvency and Bankruptcy; Complexity; Capital Structure; Restructuring; International Finance; Law; Ship Transportation; Shipping Industry; Switzerland; Isle of Man
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      Foley, C. Fritz. "Restructuring Navigator Gas Transport Plc." Harvard Business School Case 207-092, December 2006. (Revised January 2007.)
      • 2006
      • Working Paper

      The Effect of Dividends on Consumption

      By: Malcolm Baker, Stefan Nagel and Jeffrey Wurgler
      Classical models predict that the division of stock returns into dividends and capital appreciation does not affect investor consumption patterns, while mental accounting and other economic frictions predict that investors have a higher propensity to consume from stock... View Details
      Keywords: Demand and Consumers; Personal Finance; Investment Return; Household
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      Baker, Malcolm, Stefan Nagel, and Jeffrey Wurgler. "The Effect of Dividends on Consumption." NBER Working Paper Series, No. 12288, June 2006. (First Draft in 2005.)
      • March 2006 (Revised April 2010)
      • Case

      China: To Float or Not To Float? (A)

      By: Laura Alfaro, Rafael M. Di Tella and Ingrid Vogel
      On July 21, 2005 China revalued its decade-long quasi-fixed exchange rate of approximately 8.28 yuan per U.S. dollar by 2.1% to 8.11 and, at the same time, introduced a more market-based exchange rate system. Many analysts and economists were disappointed with what... View Details
      Keywords: Macroeconomics; Trade; Currency Exchange Rate; Governance Controls; Policy; Growth and Development Strategy; China
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      Alfaro, Laura, Rafael M. Di Tella, and Ingrid Vogel. "China: To Float or Not To Float? (A)." Harvard Business School Case 706-021, March 2006. (Revised April 2010.)
      • February 2006
      • Article

      Writing the Rules of Global Finance: France, Europe, and Capital Liberalization

      By: Rawi Abdelal
      Keywords: International Finance; Governing Rules, Regulations, and Reforms; Capital; France; Europe
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      Abdelal, Rawi. "Writing the Rules of Global Finance: France, Europe, and Capital Liberalization." Review of International Political Economy 13, no. 1 (February 2006): 1–27.
      • May 2005 (Revised February 2008)
      • Teaching Note

      Capital Controls in Chile in the 1990's (A & B) (TN)

      By: Laura Alfaro, Rafael M. Di Tella and Ingrid Vogel
      Teaching Note to (9-705-031). View Details
      Keywords: Capital; Governance Controls; Chile
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      Alfaro, Laura, Rafael M. Di Tella, and Ingrid Vogel. "Capital Controls in Chile in the 1990's (A & B) (TN)." Harvard Business School Teaching Note 705-039, May 2005. (Revised February 2008.)
      • March 2005 (Revised June 2005)
      • Case

      Capital Controls in Chile in the 1990s (B)

      By: Laura Alfaro, Rafael M. Di Tella and Ingrid Vogel
      Supplements the (A) case. View Details
      Keywords: Governance Controls; Financial Crisis; Foreign Direct Investment; Currency Exchange Rate; Inflation and Deflation; Demand and Consumers; Interest Rates; Capital; System; Central Banking; Chile
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      Alfaro, Laura, Rafael M. Di Tella, and Ingrid Vogel. "Capital Controls in Chile in the 1990s (B)." Harvard Business School Case 705-032, March 2005. (Revised June 2005.)
      • March 2005 (Revised July 2007)
      • Case

      Capital Controls in Chile in the 1990s (A)

      By: Laura Alfaro, Rafael M. Di Tella and Ingrid Vogel
      In 1991, Chile adopted a framework of capital controls focused on reducing the massive flows of foreign investment coming into the country as international interest rates remained low. Capital inflows threatened the Central Bank's ability to manage the exchange rate... View Details
      Keywords: Developing Countries and Economies; Economic Growth; Financial Crisis; Capital; Governance Controls; Business and Government Relations; Chile
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      Alfaro, Laura, Rafael M. Di Tella, and Ingrid Vogel. "Capital Controls in Chile in the 1990s (A)." Harvard Business School Case 705-031, March 2005. (Revised July 2007.)
      • May 2004 (Revised April 2006)
      • Case

      Ultra: The Quest for Leadership (A)

      By: Dwight B. Crane and Ricardo Reisen de Pinho
      Ultra is one of a small group of competing Brazilian petrochemical companies, each of which buys raw material and is a minority owner of Copene, a "cracking" company that provides ethylene and other materials. Because of an industry restructuring, an auction of shares... View Details
      Keywords: Capital; Capital Budgeting; Investment; Risk and Uncertainty; Risk Management; Industry Structures; Cash Flow; Cost of Capital; Valuation; Bids and Bidding; Economy; Ownership Stake; Chemical Industry; Brazil
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      Crane, Dwight B., and Ricardo Reisen de Pinho. "Ultra: The Quest for Leadership (A)." Harvard Business School Case 204-146, May 2004. (Revised April 2006.)
      • March 2004 (Revised May 2006)
      • Background Note

      Corporate Reform in the United States

      By: Lynn S. Paine and Kim Bettcher
      The spate of corporate misdeeds revealed to the American public in 2001 to 2002 prompted corrective action in many quarters of the U.S. economy. The note summarizes some of the steps taken by lawmakers, regulators, law-enforcement officials, companies, investors,... View Details
      Keywords: Corporate Governance; Capital Markets; Governing Rules, Regulations, and Reforms; Trust; United States
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      Paine, Lynn S., and Kim Bettcher. "Corporate Reform in the United States." Harvard Business School Background Note 304-091, March 2004. (Revised May 2006.)
      • March 2004 (Revised July 2004)
      • Case

      Sarbanes-Oxley Act, The

      By: Lynn S. Paine and James Weber
      Describes the evolution and passage of the Sarbanes-Oxley Act of 2002 from the perspective of the senior counsel on capital markets for the U.S. House Committee on Financial Services. View Details
      Keywords: Government Legislation; Corporate Accountability; Governance Controls; Capital Markets; Financial Reporting; Laws and Statutes; United States
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      Paine, Lynn S., and James Weber. "Sarbanes-Oxley Act, The." Harvard Business School Case 304-079, March 2004. (Revised July 2004.)
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