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.
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- Creators: Shen, Wei
- Creators: Huang, Dijiang
Description
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 must have a strong presence (i.e., holding at least one percent of the market share) in at least two of the seven major capital markets in the world. Using this criterion, I identify 25 multinational investment banks. I then analyze their home countries’ domestic market conditions and propose that the following six factors are important to the development of multinational investment banks: the size of the home country’s gross domestic product (GDP), the total capitalization of its domestic security market, the number of its Global 500 firms, the volume of its foreign direct investment (FDI), the internationalization of its currency, and the openness of its capital market to foreign investors.
By comparisons, I find that China’s domestic market conditions are comparable to the home countries of multinational investment banks with respect to the size of GDP, total market capitalization, the number of Global 500 firms, and the volume of FDI. What China lags behind are the internationalization of currency and the openness of capital market to foreign investors. Given the current trends of development, it is very likely that China will be able to catch up on the latter within ten years, thus meeting all the conditions necessary for the development of multinational investment banks.
Based on the above findings, I suggest that Chinese investment banks seize this historical opportunity, speed up the internationalization of their businesses, and learn from the experiences of global industry leaders to become truly 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 must have a strong presence (i.e., holding at least one percent of the market share) in at least two of the seven major capital markets in the world. Using this criterion, I identify 25 multinational investment banks. I then analyze their home countries’ domestic market conditions and propose that the following six factors are important to the development of multinational investment banks: the size of the home country’s gross domestic product (GDP), the total capitalization of its domestic security market, the number of its Global 500 firms, the volume of its foreign direct investment (FDI), the internationalization of its currency, and the openness of its capital market to foreign investors.
By comparisons, I find that China’s domestic market conditions are comparable to the home countries of multinational investment banks with respect to the size of GDP, total market capitalization, the number of Global 500 firms, and the volume of FDI. What China lags behind are the internationalization of currency and the openness of capital market to foreign investors. Given the current trends of development, it is very likely that China will be able to catch up on the latter within ten years, thus meeting all the conditions necessary for the development of multinational investment banks.
Based on the above findings, I suggest that Chinese investment banks seize this historical opportunity, speed up the internationalization of their businesses, and learn from the experiences of global industry leaders to become truly multinational corporations.
ContributorsLiu, Xin (Author) / Chang, Chun (Thesis advisor) / Shen, Wei (Thesis advisor) / Chen, Hong (Committee member) / Arizona State University (Publisher)
Created2015
Description
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.
ContributorsZhang, Ning (Author) / Zhu, Ning (Thesis advisor) / Shen, Wei (Thesis advisor) / Chen, Hong (Committee member) / Arizona State University (Publisher)
Created2015
Description
The increasing usage of smart-phones and mobile devices in work environment and IT
industry has brought about unique set of challenges and opportunities. ARM architecture
in particular has evolved to a point where it supports implementations across wide spectrum
of performance points and ARM based tablets and smart-phones are in demand. The
enhancements to basic ARM RISC architecture allow ARM to have high performance,
small code size, low power consumption and small silicon area. Users want their devices to
perform many tasks such as read email, play games, and run other online applications and
organizations no longer desire to provision and maintain individual’s IT equipment. The
term BYOD (Bring Your Own Device) has come into being from demand of such a work
setup and is one of the motivation of this research work. It brings many opportunities such
as increased productivity and reduced costs and challenges such as secured data access,
data leakage and amount of control by the organization.
To provision such a framework we need to bridge the gap from both organizations side
and individuals point of view. Mobile device users face issue of application delivery on
multiple platforms. For instance having purchased many applications from one proprietary
application store, individuals may want to move them to a different platform/device but
currently this is not possible. Organizations face security issues in providing such a solution
as there are many potential threats from allowing BYOD work-style such as unauthorized
access to data, attacks from the devices within and outside the network.
ARM based Secure Mobile SDN framework will resolve these issues and enable employees
to consolidate both personal and business calls and mobile data access on a single device.
To address application delivery issue we are introducing KVM based virtualization that
will allow host OS to run multiple guest OS. To address the security problem we introduce
SDN environment where host would be running bridged network of guest OS using Open
vSwitch . This would allow a remote controller to monitor the state of guest OS for making
important control and traffic flow decisions based on the situation.
industry has brought about unique set of challenges and opportunities. ARM architecture
in particular has evolved to a point where it supports implementations across wide spectrum
of performance points and ARM based tablets and smart-phones are in demand. The
enhancements to basic ARM RISC architecture allow ARM to have high performance,
small code size, low power consumption and small silicon area. Users want their devices to
perform many tasks such as read email, play games, and run other online applications and
organizations no longer desire to provision and maintain individual’s IT equipment. The
term BYOD (Bring Your Own Device) has come into being from demand of such a work
setup and is one of the motivation of this research work. It brings many opportunities such
as increased productivity and reduced costs and challenges such as secured data access,
data leakage and amount of control by the organization.
To provision such a framework we need to bridge the gap from both organizations side
and individuals point of view. Mobile device users face issue of application delivery on
multiple platforms. For instance having purchased many applications from one proprietary
application store, individuals may want to move them to a different platform/device but
currently this is not possible. Organizations face security issues in providing such a solution
as there are many potential threats from allowing BYOD work-style such as unauthorized
access to data, attacks from the devices within and outside the network.
ARM based Secure Mobile SDN framework will resolve these issues and enable employees
to consolidate both personal and business calls and mobile data access on a single device.
To address application delivery issue we are introducing KVM based virtualization that
will allow host OS to run multiple guest OS. To address the security problem we introduce
SDN environment where host would be running bridged network of guest OS using Open
vSwitch . This would allow a remote controller to monitor the state of guest OS for making
important control and traffic flow decisions based on the situation.
ContributorsChowdhary, Ankur (Author) / Huang, Dijiang (Thesis advisor) / Tong, Hanghang (Committee member) / Davulcu, Hasan (Committee member) / Arizona State University (Publisher)
Created2015
Description
This study seeks to develop a framework that can help firms in China’s guarantee industry to better identify and prevent risk when they offer guarantee services to small and medium-sized enterprises (SME). With the continuously increasing demands of SME financing, the guarantee industry has developed rapidly in China. Meanwhile, the turmoil in global financial markets and the significant slowdown of global economy have started to have a negative impact on China’s economy, increasing the risk exposure of China’s guarantee industry. In this context, risk identification and prevention becomes the core competence of a guarantee company. Based on a review of the existing research, two in-depth case studies, and the author’s personal experiences in this industry, this paper does not only provide a comprehensive list of the risks that guarantee firms face in China but also measures for risk identification and prevention.
This thesis is organized as follows. First, I provide a brief description about the emergence and development of China’s guarantee industry, as well as its current status. Next, I explain what kinds of risks faced by guarantee firms in China that influence their performance and survival, and summarize the various external and internal risk factors. I also conduct one in-depth case analysis to illustrate how a guarantee firm can better identify the risks it is exposed to. Next, on the basis of another in-depth case analysis, I develop a framework that can help guarantee firms to systematically develop effective measures of risk identification and prevention. I conclude with a discussion of this study’s implications for guarantee firms and the regulatory governmental agencies in China.
This thesis is organized as follows. First, I provide a brief description about the emergence and development of China’s guarantee industry, as well as its current status. Next, I explain what kinds of risks faced by guarantee firms in China that influence their performance and survival, and summarize the various external and internal risk factors. I also conduct one in-depth case analysis to illustrate how a guarantee firm can better identify the risks it is exposed to. Next, on the basis of another in-depth case analysis, I develop a framework that can help guarantee firms to systematically develop effective measures of risk identification and prevention. I conclude with a discussion of this study’s implications for guarantee firms and the regulatory governmental agencies in China.
ContributorsWu, Daorong (Author) / Shen, Wei (Thesis advisor) / Liu, Jun (Thesis advisor) / Chang, Chun (Committee member) / Arizona State University (Publisher)
Created2016
Description
Smartphones are pervasive nowadays. They are supported by mobile platforms that allow users to download and run feature-rich mobile applications (apps). While mobile apps help users conveniently process personal data on mobile devices, they also pose security and privacy threats and put user's data at risk. Even though modern mobile platforms such as Android have integrated security mechanisms to protect users, most mechanisms do not easily adapt to user's security requirements and rapidly evolving threats. They either fail to provide sufficient intelligence for a user to make informed security decisions, or require great sophistication to configure the mechanisms for enforcing security decisions. These limitations lead to a situation where users are disadvantageous against emerging malware on modern mobile platforms. To remedy this situation, I propose automated and systematic approaches to address three security management tasks: monitoring, assessment, and confinement of mobile apps. In particular, monitoring apps helps a user observe and record apps' runtime behaviors as controlled under security mechanisms. Automated assessment distills intelligence from the observed behaviors and the security configurations of security mechanisms. The distilled intelligence further fuels enhanced confinement mechanisms that flexibly and accurately shape apps' behaviors. To demonstrate the feasibility of my approaches, I design and implement a suite of proof-of-concept prototypes that support the three tasks respectively.
ContributorsJing, Yiming (Author) / Ahn, Gail-Joon (Thesis advisor) / Doupe, Adam (Committee member) / Huang, Dijiang (Committee member) / Zhang, Yanchao (Committee member) / Arizona State University (Publisher)
Created2015
Description
Informal finance in this paper refers to the financing activities of individuals or households to borrow money through channels other than formal financial institutions such as commercial banks. Using data from China Household Finance Survey (CHFS) conducted by Southwestern University of Finance and Economics (SWUFE) and the People's Bank of China, this paper employs Probit model to analyze the factors that may influence the financing needs of Chinese households and factors that influence their likelihood of obtaining loans from formal financial institutions versus from informal channels. Results show that household wealth, family structure, and household head’s characteristics are the major factors that influence their financing needs. Moreover, the results suggest that (a) richer families are more likely to obtain loans from formal financial channels while poorer families are more likely to do so from informal channels; (b) families with stronger social ties are more likely to obtain loans from formal financial channels, but this relationship is weaker in regions where the financial market is more competitive;and (c) the increase of formal financial services is positively related to the probability of households obtaining formal finance, but has no relationship with the probability of households obtaining informal finance. These findings have important implications for finance policy making.
ContributorsZhang, Linchao (Author) / Shen, Wei (Thesis advisor) / Chen, Xiaoping (Thesis advisor) / Liu, Jun (Committee member) / Arizona State University (Publisher)
Created2016
Description
With the software-defined networking trend growing, several network virtualization controllers have been developed in recent years. These controllers, also called network hypervisors, attempt to manage physical SDN based networks so that multiple tenants can safely share the same forwarding plane hardware without risk of being affected by or affecting other tenants. However, many areas remain unexplored by current network hypervisor implementations. This thesis presents and evaluates some of the features offered by network hypervisors, such as full header space availability, isolation, and transparent traffic forwarding capabilities for tenants. Flow setup time and throughput are also measured and compared among different network hypervisors. Three different network hypervisors are evaluated: FlowVisor, VeRTIGO and OpenVirteX. These virtualization tools are assessed with experiments conducted on three different testbeds: an emulated Mininet scenario, a physical single-switch testbed, and also a remote GENI testbed. The results indicate that network hypervisors bring SDN flexibility to network virtualization, making it easier for network administrators to define with precision how the network is sliced and divided among tenants. This increased flexibility, however, may come with the cost of decreased performance, and also brings additional risks of interoperability due to a lack of standardization of virtualization methods.
ContributorsStall Rechia, Felipe (Author) / Syrotiuk, Violet R. (Thesis advisor) / Ahn, Gail-Joon (Committee member) / Huang, Dijiang (Committee member) / Arizona State University (Publisher)
Created2016
Description
In traditional networks the control and data plane are highly coupled, hindering development. With Software Defined Networking (SDN), the two planes are separated, allowing innovations on either one independently of the other. Here, the control plane is formed by the applications that specify an organization's policy and the data plane contains the forwarding logic. The application sends all commands to an SDN controller which then performs the requested action on behalf of the application. Generally, the requested action is a modification to the flow tables, present in the switches, to reflect a change in the organization's policy. There are a number of ways to control the network using the SDN principles, but the most widely used approach is OpenFlow.
With the applications now having direct access to the flow table entries, it is easy to have inconsistencies arise in the flow table rules. Since the flow rules are structured similar to firewall rules, the research done in analyzing and identifying firewall rule conflicts can be adapted to work with OpenFlow rules.
The main work of this thesis is to implement flow conflict detection logic in OpenDaylight and inspect the applicability of techniques in visualizing the conflicts. A hierarchical edge-bundling technique coupled with a Reingold-Tilford tree is employed to present the relationship between the conflicting rules. Additionally, a table-driven approach is also implemented to display the details of each flow.
Both types of visualization are then tested for correctness by providing them with flows which are known to have conflicts. The conflicts were identified properly and displayed by the views.
With the applications now having direct access to the flow table entries, it is easy to have inconsistencies arise in the flow table rules. Since the flow rules are structured similar to firewall rules, the research done in analyzing and identifying firewall rule conflicts can be adapted to work with OpenFlow rules.
The main work of this thesis is to implement flow conflict detection logic in OpenDaylight and inspect the applicability of techniques in visualizing the conflicts. A hierarchical edge-bundling technique coupled with a Reingold-Tilford tree is employed to present the relationship between the conflicting rules. Additionally, a table-driven approach is also implemented to display the details of each flow.
Both types of visualization are then tested for correctness by providing them with flows which are known to have conflicts. The conflicts were identified properly and displayed by the views.
ContributorsNatarajan, Janakarajan (Author) / Huang, Dijiang (Thesis advisor) / Syrotiuk, Violet R. (Thesis advisor) / Ahn, Gail-Joon (Committee member) / Arizona State University (Publisher)
Created2016
Description
This thesis investigates whether mergers and acquisitions (M&As) help increase the competitive advantage and core competency of Chinese securities companies. Although M&As among Chinese securities companies were almost exclusively guided by the Chinese government in the earlier years, they have increasingly become more market-driven in recent years. Many large Chinese securities companies have engaged in horizontal mergers, cross-industry mergers, and cross-border mergers to increase their market positions. However, there is little up-to-date evidence about how these market-driven M&As influence the competitive advantage and core competency of securities companies in China. I seek to fill this gap by conducting a systematic analysis about whether M&As increase the core competency of the acquiring companies using data collected over a five-year window from 2010 to 2014.
On the basis of prior research findings and the current situation of the Chinese securities industry, I first develop a theoretical model about the sources of competitive advantage for Chinese securities companies, and then compile a comprehensive list of observable indicators that can be used to assess a Chinese securities company’s core competency. Next, I conduct a quantitative analysis to assess the core competency and relative market positions of the leading Chinese securities companies using data from 2010 to 2014. Overall, the results suggest that market-driven M&As increases the core competency of the acquiring securities companies. I then conduct four in-depth case analyses to better understand the mechanisms through which M&As can help increase the acquiring firms' core competency. I conclude with a discussion of the findings and their implications for Chinese securities companies and the overseeing governmental agencies.
On the basis of prior research findings and the current situation of the Chinese securities industry, I first develop a theoretical model about the sources of competitive advantage for Chinese securities companies, and then compile a comprehensive list of observable indicators that can be used to assess a Chinese securities company’s core competency. Next, I conduct a quantitative analysis to assess the core competency and relative market positions of the leading Chinese securities companies using data from 2010 to 2014. Overall, the results suggest that market-driven M&As increases the core competency of the acquiring securities companies. I then conduct four in-depth case analyses to better understand the mechanisms through which M&As can help increase the acquiring firms' core competency. I conclude with a discussion of the findings and their implications for Chinese securities companies and the overseeing governmental agencies.
ContributorsWang, Lijuan (Author) / Shen, Wei (Thesis advisor) / Qian, Jun (Thesis advisor) / Liu, Jun (Committee member) / Arizona State University (Publisher)
Created2016
Description
Detecting cyber-attacks in cyber systems is essential for protecting cyber infrastructures from cyber-attacks. It is very difficult to detect cyber-attacks in cyber systems due to their high complexity. The accuracy of the attack detection in the cyber systems depends heavily on the completeness of the collected sensor information. In this thesis, two approaches are presented: one to detecting attacks in completely observable cyber systems, and the other to estimating types of states in partially observable cyber systems for attack detection in cyber systems. These two approaches are illustrated using three large data sets of network traffic because the packet-level information of the network traffic data provides details about the cyber systems.
The approach to attack detection in cyber systems is based on a multimodal artificial neural network (MANN) using the collected network traffic data from completely observable cyber systems for training and testing. Since the training of MANN is computationally intensive, to reduce the computational overhead, an efficient feature selection algorithm using the genetic algorithm is developed and incorporated in this approach.
In order to detect attacks in cyber systems in partially observable environments, an approach to estimating the types of states in partially observable cyber systems, which is the first phase of attack detection in cyber systems in partially observable environments, is presented. The types of states of such cyber systems are useful to detecting cyber-attacks in such cyber systems. This approach involves the use of a convolutional neural network (CNN), and unsupervised learning with elbow method and k-means clustering algorithm.
The approach to attack detection in cyber systems is based on a multimodal artificial neural network (MANN) using the collected network traffic data from completely observable cyber systems for training and testing. Since the training of MANN is computationally intensive, to reduce the computational overhead, an efficient feature selection algorithm using the genetic algorithm is developed and incorporated in this approach.
In order to detect attacks in cyber systems in partially observable environments, an approach to estimating the types of states in partially observable cyber systems, which is the first phase of attack detection in cyber systems in partially observable environments, is presented. The types of states of such cyber systems are useful to detecting cyber-attacks in such cyber systems. This approach involves the use of a convolutional neural network (CNN), and unsupervised learning with elbow method and k-means clustering algorithm.
ContributorsGuha, Sayantan (Author) / Yau, Stephen S. (Thesis advisor) / Ahn, Gail-Joon (Committee member) / Huang, Dijiang (Committee member) / Arizona State University (Publisher)
Created2016