Operations risk: managing a key component of operations risk under Basel II
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Amsterdam [u.a.]
Elsevier BH
2007
|
| Ausgabe: | 1. ed. |
| Schlagworte: | |
| Online-Zugang: | Publisher description Inhaltsverzeichnis |
| Beschreibung: | Includes bibliographical references and index |
| Beschreibung: | IX, 178 S. 24 cm |
| ISBN: | 9780750667999 0750667990 |
Internformat
MARC
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| 100 | 1 | |a Loader, David |e Verfasser |4 aut | |
| 245 | 1 | 0 | |a Operations risk |b managing a key component of operations risk under Basel II |c David Loader |
| 250 | |a 1. ed. | ||
| 264 | 1 | |a Amsterdam [u.a.] |b Elsevier BH |c 2007 | |
| 300 | |a IX, 178 S. |c 24 cm | ||
| 336 | |b txt |2 rdacontent | ||
| 337 | |b n |2 rdamedia | ||
| 338 | |b nc |2 rdacarrier | ||
| 500 | |a Includes bibliographical references and index | ||
| 650 | 4 | |a Financial services industry |x Risk management | |
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Datensatz im Suchindex
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|---|---|
| adam_text | Contents
Introduction viii
1 THE OPERATIONAL RISK UNIVERSE 1
Post barings 5
The influence of BIS 6
Operational risk management 6
Types of risk 7
2 DEFINING OPERATIONS RISK IN INVESTMENT AND
RETAIL BANKING 8
Retail banking 8
Managing operations risk in retail banking 9
Types of operations risk affecting retail banks 11
Customer account errors 12
Immediate observations 12
Possible outcomes 12
Action 13
Risk impact 13
Damage limitation and preventative action 13
Managing other operations risks 14
Risk in Investment Banking 14
3 OPERATIONS RISK 16
Analysing the risk value 19
Summary of operations risk 22
Market risk 22
Management risk 23
Market or principal risk 23
Credit or counterparty risk 25
Operational risk 25
Other risks 32
vi Contents
Understanding risk 33
Operations management 34
4 MANAGING THE RISK 35
How does the business manage operations risk? 35
Devising a strategy to manage operations risk 36
Self assessment techniques 36
Risk envelopes 38
Risk waves 39
Risk scoring 41
Fishbone analysis of cause 42
Risk volcanoes 43
Summary 45
5 UNDERSTANDING A RISK EVENT 46
Pre event 46
Time lag 49
Realisation 49
Mitigation 50
Lessons learned 51
6 WORKFLOW AND OPERATIONS RISK 52
People 52
Management 54
Analysing risk in the workflow 55
Analysing workflow 56
7 RISK AND REGULATION 60
Regulation in respect of custody services 62
Regulation affecting brokers and fund management
companies 62
Exchange and clearing house regulation 63
Summary details on regulation 63
Summary 64
8 INNOVATIVE TOOLS TO MANAGE PEOPLE RISKS 65
Analysing Hypnotherapy as a tool to reduce
operations risk 65
Hypnotherapy 67
9 INSOURCING AND OUTSOURCING RISK 69
Guiding principles Overview 69
Contents vii
Case study 1: German loan factory 71
Case study 2: Australian regulator investigates
bank outsourcing 71
Case study 3: Outsourcing unit pricing for managed funds 72
Case study 4: OCC action against a bank and
service provider 72
Case study 5: Joint examinations of third party
service providers in the United States 73
Summary 75
Glossary of risk terminology 76
Appendix 1: Consolidated KYC risk management 89
Appendix 2: A collection of excerpts and published
operational risk guidelines and recommendations 96
Appendix 3: Global clearing and settlement The G30 twenty
recommendations 105
Appendix 4: ISSA recommendations 2000 116
Index 171
|
| adam_txt |
Contents
Introduction viii
1 THE OPERATIONAL RISK UNIVERSE 1
Post barings 5
The influence of BIS 6
Operational risk management 6
Types of risk 7
2 DEFINING OPERATIONS RISK IN INVESTMENT AND
RETAIL BANKING 8
Retail banking 8
Managing operations risk in retail banking 9
Types of operations risk affecting retail banks 11
Customer account errors 12
Immediate observations 12
Possible outcomes 12
Action 13
Risk impact 13
Damage limitation and preventative action 13
Managing other operations risks 14
Risk in Investment Banking 14
3 OPERATIONS RISK 16
Analysing the risk value 19
Summary of operations risk 22
Market risk 22
Management risk 23
Market or principal risk 23
Credit or counterparty risk 25
Operational risk 25
Other risks 32
vi Contents
Understanding risk 33
Operations management 34
4 MANAGING THE RISK 35
How does the business manage operations risk? 35
Devising a strategy to manage operations risk 36
Self assessment techniques 36
"Risk envelopes" 38
"Risk waves" 39
"Risk scoring" 41
"Fishbone analysis of cause" 42
Risk volcanoes 43
Summary 45
5 UNDERSTANDING A RISK EVENT 46
Pre event 46
Time lag 49
Realisation 49
Mitigation 50
Lessons learned 51
6 WORKFLOW AND OPERATIONS RISK 52
People 52
Management 54
Analysing risk in the workflow 55
Analysing workflow 56
7 RISK AND REGULATION 60
Regulation in respect of custody services 62
Regulation affecting brokers and fund management
companies 62
Exchange and clearing house regulation 63
Summary details on regulation 63
Summary 64
8 INNOVATIVE TOOLS TO MANAGE PEOPLE RISKS 65
Analysing Hypnotherapy as a tool to reduce
operations risk 65
Hypnotherapy 67
9 INSOURCING AND OUTSOURCING RISK 69
Guiding principles Overview 69
Contents vii
Case study 1: German loan factory 71
Case study 2: Australian regulator investigates
bank outsourcing 71
Case study 3: Outsourcing unit pricing for managed funds 72
Case study 4: OCC action against a bank and
service provider 72
Case study 5: Joint examinations of third party
service providers in the United States 73
Summary 75
Glossary of risk terminology 76
Appendix 1: Consolidated KYC risk management 89
Appendix 2: A collection of excerpts and published
operational risk guidelines and recommendations 96
Appendix 3: Global clearing and settlement The G30 twenty
recommendations 105
Appendix 4: ISSA recommendations 2000 116
Index 171 |
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| edition | 1. ed. |
| format | Book |
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| illustrated | Not Illustrated |
| index_date | 2024-07-02T18:41:57Z |
| indexdate | 2024-07-09T21:07:02Z |
| institution | BVB |
| isbn | 9780750667999 0750667990 |
| language | English |
| lccn | 2007295779 |
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| physical | IX, 178 S. 24 cm |
| publishDate | 2007 |
| publishDateSearch | 2007 |
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| publisher | Elsevier BH |
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| spelling | Loader, David Verfasser aut Operations risk managing a key component of operations risk under Basel II David Loader 1. ed. Amsterdam [u.a.] Elsevier BH 2007 IX, 178 S. 24 cm txt rdacontent n rdamedia nc rdacarrier Includes bibliographical references and index Financial services industry Risk management Risikomanagement (DE-588)4121590-4 gnd rswk-swf Bankbetriebslehre (DE-588)4129045-8 gnd rswk-swf Bankbetriebslehre (DE-588)4129045-8 s Risikomanagement (DE-588)4121590-4 s DE-604 http://www.loc.gov/catdir/enhancements/fy0713/2007295779-d.html Publisher description HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016031317&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Loader, David Operations risk managing a key component of operations risk under Basel II Financial services industry Risk management Risikomanagement (DE-588)4121590-4 gnd Bankbetriebslehre (DE-588)4129045-8 gnd |
| subject_GND | (DE-588)4121590-4 (DE-588)4129045-8 |
| title | Operations risk managing a key component of operations risk under Basel II |
| title_auth | Operations risk managing a key component of operations risk under Basel II |
| title_exact_search | Operations risk managing a key component of operations risk under Basel II |
| title_exact_search_txtP | Operations risk managing a key component of operations risk under Basel II |
| title_full | Operations risk managing a key component of operations risk under Basel II David Loader |
| title_fullStr | Operations risk managing a key component of operations risk under Basel II David Loader |
| title_full_unstemmed | Operations risk managing a key component of operations risk under Basel II David Loader |
| title_short | Operations risk |
| title_sort | operations risk managing a key component of operations risk under basel ii |
| title_sub | managing a key component of operations risk under Basel II |
| topic | Financial services industry Risk management Risikomanagement (DE-588)4121590-4 gnd Bankbetriebslehre (DE-588)4129045-8 gnd |
| topic_facet | Financial services industry Risk management Risikomanagement Bankbetriebslehre |
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