LEADER 05365nam 2200649Ia 450 001 9910815975503321 005 20200520144314.0 010 $a1-280-75197-5 010 $a9786610751976 010 $a0-08-046948-5 035 $a(CKB)1000000000350114 035 $a(EBL)285822 035 $a(OCoLC)437176490 035 $a(SSID)ssj0000215377 035 $a(PQKBManifestationID)11197311 035 $a(PQKBTitleCode)TC0000215377 035 $a(PQKBWorkID)10184971 035 $a(PQKB)10518823 035 $a(Au-PeEL)EBL285822 035 $a(CaPaEBR)ebr10160353 035 $a(CaONFJC)MIL75197 035 $a(CaSebORM)9780750667999 035 $a(MiAaPQ)EBC285822 035 $a(EXLCZ)991000000000350114 100 $a20050818d2007 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aOperations risk$b[electronic resource] $emanaging a key component of operations risk under Basel II /$fDavid Loader 205 $a1st ed. 210 $aOxford ;$aBurlington, MA $cButterworth-Heinemann$d2007 215 $a1 online resource (189 p.) 225 1 $aElsevier Finance. 300 $aIncludes index. 311 $a0-7506-6799-0 327 $aFront Cover; Operations Risk; Copyright Page; Table of Contents; Introduction; Chapter 1 The operational risk universe; Post barings; The influence of BIS; Operational risk management; Types of risk; Chapter 2 Defining operations risk in investment and retail banking; Retail banking; Managing operations risk in retail banking; Types of operations risk affecting retail banks; Customer account errors; Immediate observations; Possible outcomes; Action; Risk impact; Damage limitation and preventative action; Managing other operations risks; Risk in Investment Banking; Chapter 3 Operations risk 327 $aAnalysing the risk valueSummary of operations risk; Market risk; Management risk; Market or principal risk; Credit or counterparty risk; Operational risk; Other risks; Understanding risk; Operations management; Chapter 4 Managing the risk; How does the business manage operations risk?; Devising a strategy to manage operations risk; Self-assessment techniques; "Risk envelopes"; "Risk waves"; "Risk scoring"; "Fishbone analysis of cause"; Risk volcanoes; Summary; Chapter 5 Understanding a risk event; Pre-event; Time lag; Realisation; Mitigation; Lessons learned 327 $aChapter 6 Workflow and operations riskPeople; Management; Analysing risk in the workflow; Analysing workflow; Chapter 7 Risk and regulation; Regulation in respect of custody services; Regulation affecting brokers and fund management companies; Exchange and clearing house regulation; Summary details on regulation; Summary; Chapter 8 Innovative tools to manage people risks; Analysing Hypnotherapy as a tool to reduce operations risk; Hypnotherapy; Chapter 9 Insourcing and outsourcing risk; Guiding principles - Overview; Case study 1: German loan factory 327 $aCase study 2: Australian regulator investigates bank outsourcingCase study 3: Outsourcing unit pricing for managed funds; Case study 4: OCC action against a bank and service provider; Case study 5: Joint examinations of third-party service providers in the United States; Summary; Glossary of risk terminology; Publications; Useful websites; Appendix 1: Consolidated KYC risk management; Introduction; Global process for managing KYC risks; Customer acceptance policy; Customer identification; Monitoring of accounts and transactions; Consolidated risk management and information sharing 327 $aMixed financial groupsThe role of the supervisor; Appendix 2: A collection of excerpts and published operational risk guidelines and recommendations; Derivatives; About the FOA; Appendix 3: Global clearing and settlement - The G30 twenty recommendations; Managing Operational Risk; FX Settlement Risk; Why CLS?; How CLS works; CLS in business; Who is involved; Settlement Members' customers; CLS group of companies; Appendix 4: ISSA recommendations 2000; International Securities Services Association ISSA; 1. Introduction; 1.1 Objectives of this Report; 1.2 Overview of the Process 327 $a1.3 Relationship Between the ISSA Recommendations and Other Initiatives 330 $aOperations Risk--a form of Operational Risk, is becoming increasingly important as more and more sophisticated products and the use of those products occurs in the financial services industry. Outsourcing, including overseas outsourcing, is changing the structure of firms and particularly operations teams. Thus understanding the existing and the changing risk environment in operations functions and its impact on operational risk is centrally important today. The book focuses on areas such as technology risk, people risk, and settlement risk, examining the dangers that lurk within different org 606 $aFinancial services industry$xRisk management 606 $aService industries$xRisk management 615 0$aFinancial services industry$xRisk management. 615 0$aService industries$xRisk management. 676 $a332.1068 700 $aLoader$b David$01598045 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910815975503321 996 $aOperations risk$93990184 997 $aUNINA