Journal of International Money and Finance (1993), 12, 543-560
The sources of GARCH: empirical evidence
from an intraday returns model incorporating
systematic and unique risks
PAUL A. LAUX AND LILIAN K. NG*
Department of Finance, CBA 6.222, University of Texas at Austin, Austin,
TX 78712-1179, USA
GARCH models propose that volatility is time varying and
persistent. As a parsimonious statistical description of the process
driving returns in many financial markets, these models have been
very successful. However, GARCH lacks a substantiated economic
motivation. This paper provides new and more definitive evidence
on the mixture of distributions hypothesis, a prominent potential
economic explanation. The mixture hypothesis posits that
autocorrelation in the time-varying rate of information arrival leads
to the volatility dependencies captured by GARCH models. Previous
investigations of this hypothesis have been inconclusive. This paper
makes use of a more theoretically appealing risk specification, more
appropriate measures of the rate of information arrival, and higher
frequency data from the currency futures market. The results show
that the mixture hypothesis explains substantial portions of
contracts' unique risks, but systematic GARCH remains.
Judging by the findings in voluminous recent literature, Generalized
Autoregressive Conditional Heteroscedasticity (GARCH) is ubiquitous? Its
key characteristics--autocorrelated volatility and contiguous periods of
volatility and quiescence--as well as associated characteristics such as excess
kurtosis, are exhibited by a wide variety of financial time series, including
stock, futures and foreign exchange returns. The excellent review paper by
Bollerslev et al. (1992) provides many examples and citations. As a
parsimonious statistical description of the process driving returns in many
financial markets, GARCH modeling is a great success. The lack of a
substantiated economic motivation for GARCH in returns is thus lamentable.
This paper provides new and more definitive evidence on one prominent
potential economic explanation, the mixture of distributions explanation.
Various authors, including Diebold (1986), Diebold and Nerlove (1989),
and Gallant et al. (1991) have suggested that autocorrelation in the
* We appreciate comments of Eric Chang, Yin-Wong Cheung, Prem Jain, Barry Schachter,
A.J. Senchack, Richard Sweeney, Bill Taylor and seminar participants at the Texas Finance
Symposium, Georgetown University and the Commodity Futures Trading Commission
(CFTC). Laux was on leave at the CFTC while part of this work was done, and the CFTC's
research support is appreciated.
0261-5606/93/05/0543-18 © 1993 Butterworth-Heinemann Ltd