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Author: 蔡明欽
Ming-Ching Tsai
Thesis Title: 應用全面品質管理模式以提升金融業營運之績效:大中華區多國籍投資管理企業之質化研究
Improving Operations Performance of a Financial Institution through TQM Model: A Qualitative Research of a Multinational Investment Management Firm in Greater China
Advisor: 歐陽超
Chao Ou-Yang
Committee: 王福琨
Fu-Kwun Wang
周子銓
Tzu-Chuan Chou
周雍強
Yon Chou
周行一
Edward Chow
Degree: 博士
Doctor
Department: 管理學院 - 管理研究所
Graduate Institute of Management
Thesis Publication Year: 2014
Graduation Academic Year: 102
Language: 英文
Pages: 65
Keywords (in Chinese): 全面品質管理投資管理企業流程改善作業基礎成本制度統計製程品管
Keywords (in other languages): Investment Management, Total Quality Management, Business Process Improvement, Activity Based Costing, Statistical Process Control
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  • 有鑑於就投資管理機構應用「全面品質管理」之實證研究,藉以提出之相關論點與評價,在文獻紀錄上尚付之厥如;本論文深入探討並記錄某多國籍投資管理企業於2008年金融危機後,長達五年來導入「全面品質管理」之後台營運績效。

    在第一階段長期追縱探討之個案研究中,本論文闡釋該一投資管理企業於大中華地區(含台灣、香港與中國大陸)應用「全面品質管理」之過程與結果。研究中顯示,藉由落實以P-A-I-S-I (Planning, As-Is Session, Involve Others, Should-Be Session, Implementation) 為施行步驟之「企業流程改善」,輔以「作業基礎成本制度」、「統計製程品管」與「企業改造」等方法,大多數後台營運單位皆能陸續產生顯著績效改善成果。本論文隨之引用研究中之發現,提出相關之命題,並整理出可以有效導入「全面品質管理」之模式。

    其次,在第二階段研究中,本論文進一步採用「紮根理論」研究方法中之編碼程序,整理歸納出落實「全面品質管理」的幾項關鍵成功因素,並據此提出「全面品質管理」實施架構以供學者與實務人士參考。尤有甚者,本論文根據研究之發現,綜合擬訂出企業導入「全面品質管理」前之評估檢核表,期以提供金融業,特別是投資管理業使用之。


    The demand for insights or evaluations of Total Quality Management (TQM) implementation in investment management (IM) fields based on empirical research has been neglected in literature. This exploratory research documents effect of TQM implementation of a multinational investment management firm’s operations performance during the five-year time period after the 2008 financial crisis.

    In phase I research, the longitudinal case studies unfold processes and results of TQM projects undertaken in the firm’s operations units in Greater China including Taiwan, Hong Kong, and China. The studies show that the application of the Business Process Improvement (BPI) P-A-I-S-I approach (Planning, As-Is Session, Involve Others, Should-Be Session, Implementation) with catalyst of Activity Based Costing (ABC), Statistical Process Control (SPC), and reengineering yields positive results in most of the firm’s operations units. Propositions are addressed and an effective TQM model is proposed based on the research findings.

    In phase II research, the coding process of the Grounded Theory approach is adopted and thus the researchers develop a TQM implementation framework which directs to the critical success factors for scholars and practitioners. The overall findings in this research derive a diagnostic checklist before TQM implementation for the financial institutions particularly for IM industry.

    指導教授推薦書 i 審定書ii 中文摘要iii Abstractiv 致 謝v Table of Contentsvi List of Figuresx List of Tablesxi Chapter 1Introduction1 1.1Research Motives1 1.2Research Background2 1.3Research Purpose4 Chapter 2Literature Review and Research Methodology6 2.1 Literature Review6 2.2Research Methodology7 Chapter 3Approach of Business Process Improvement10 3.1 Business Process Improvement Workshops10 3.2BPI Project Example – Improving Efficiency of Fund Distribution11 3.2.1 Step 1: Planning11 3.2.2Step 2: As-Is Session12 3.2.3Step 3: Involve Others12 3.2.4Step 4: Should-Be Session13 3.2.5Step 5: Implementation14 3.3 BPI Project Example – Improving Valuation Efficiency14 3.3.1Step 1: Planning14 3.3.2Step 2: As-Is Session15 3.3.3.Step 3: Involve Others15 3.3.1Step 4: Should-Be Session16 3.3.2Step 5: Implementation17 Chapter 4Rollout of ABC, SPC, and Reengineering18 4.1The Application of ABC18 4.1.1Measuring Unit Cost Per Fund18 4.1.2Measuring Unit Cost Per Activity19 4.1.3An Example of High Cost List20 4.2The Application of SPC23 4.2.1 Data Collection24 4.2.2 Measuring Process Stability24 4.2.3 Measuring Process Capability28 4.3 Launch of Reengineering29 4.3.1 Systems Restructure29 4.3.2 Organization Restructure30 Chapter 5Results of TQM Implementation32 5.1 Implementation Results of Taiwan Fund Operations32 5.2 Implementation Results of Hong Kong Operations34 5.3 Implementation Results of China JV Operations35 5.4 Implementation Results in Greater China36 5.5 Survey Results37 5.5.1 Survey Results: Results of Implementation37 5.5.2 Survey Results: Management Support38 5.5.3 Survey Results: Use of BPI Tools39 5.6 Effective Quality Management Model for the IM Industry39 Chapter 6Propositions and Grounded Theory Approach41 6.1 Buy-In and Commitment41 6.2 Timing of Implementation in Greater China42 6.3 The Constitution of Shared Services in Greater China43 6.4 The Characteristics of Joint Ventures in China44 6.5 Impact of TQM Implementation in Taiwan TA45 6.6.1 The Organization That Fits TQM in IM Firms47 6.6.2 The Corporate Culture That Fits TQM in IM Firms48 6.6.3 The Approach That Fits in IM Firms52 6.6.4 The Leadership That Fosters TQM in IM Firms53 Chapter 7Conclusion and Recommendation55 7.1 Conclusion55 7.3 Research Limitations and Directions for Future Research59 References61 Appendix65

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