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Valuation of Conditional Pension Liabilities and Guarantees under Sponsor Vulnerabilities

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Author Info
Dirk Broeders
Abstract

This paper analyzes the relationship between a pension fund with conditionally indexed de.ned benefit liabilities and its sponsor, using contingent claims analysis. As pension funds run a mismatch risk, future surpluses and shortfalls will occur. Surpluses are divided between beneficiaries and sponsor through conditional indexation and refunding. Covering an eventual loss at the pension fund level is a function of the sponsor's financial ability to do so. This paper suggests that this system creates an asymmetric allocation of the residual risk between sponsor and beneficiaries. The main conclusion is that the sponsor's vulnerability negatively impacts the optimum risk profile of a defined benefit scheme with conditional indexation and thereby the market value of conditional indexation.

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Paper provided by Netherlands Central Bank, Research Department in its series DNB Working Papers with number 082.

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Date of creation: Jan 2006
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Handle: RePEc:dnb:dnbwpp:082

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Related research
Keywords: De.ned bene.t; pension put; conditional indexation; vulnerable options;

Find related papers by JEL classification:
G11 - Financial Economics - - General Financial Markets - - - Portfolio Choice; Investment Decisions
G23 - Financial Economics - - Financial Institutions and Services - - - Pension Funds; Other Private Financial Institutions

This paper has been announced in the following NEP Reports:

References listed on IDEAS
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  1. Fischer, Stanley, 1978. "Call Option Pricing when the Exercise Price Is Uncertain, and the Valuation of Index Bonds," Journal of Finance, American Finance Association, vol. 33(1), pages 169-76, March. [Downloadable!] (restricted)
  2. Hull, John & White, Alan, 1995. "The impact of default risk on the prices of options and other derivative securities," Journal of Banking & Finance, Elsevier, vol. 19(2), pages 299-322, May. [Downloadable!] (restricted)
  3. Lo, Andrew W & Wang, Jiang, 1995. " Implementing Option Pricing Models When Asset Returns Are Predictable," Journal of Finance, American Finance Association, vol. 50(1), pages 87-129, March. [Downloadable!] (restricted)
    Other versions:
  4. Frank de Jong, 2005. "Valuation of pension liabilities in incomplete markets," DNB Working Papers 067, Netherlands Central Bank, Research Department. [Downloadable!]
  5. Klein, Peter, 1996. "Pricing Black-Scholes options with correlated credit risk," Journal of Banking & Finance, Elsevier, vol. 20(7), pages 1211-1229, August. [Downloadable!] (restricted)
  6. Black, Fischer & Scholes, Myron S, 1973. "The Pricing of Options and Corporate Liabilities," Journal of Political Economy, University of Chicago Press, vol. 81(3), pages 637-54, May-June. [Downloadable!] (restricted)
  7. Johnson, Herb & Stulz, Rene, 1987. " The Pricing of Options with Default Risk," Journal of Finance, American Finance Association, vol. 42(2), pages 267-80, June. [Downloadable!] (restricted)
  8. Margrabe, William, 1978. "The Value of an Option to Exchange One Asset for Another," Journal of Finance, American Finance Association, vol. 33(1), pages 177-86, March. [Downloadable!] (restricted)
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