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Cognitive Risk : How to Manage Operational Risk in the Cognitive Era.
Reduce or prevent risk failure losses with new and emerging technologies Rogues of Wall Street analyzes the recent risk failures and errors that have overwhelmed Wall Street for the past decade. Written by a veteran risk, compliance, and governance specialist, this book helps bank leaders and consul...
| Clasificación: | Libro Electrónico |
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| Autor principal: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
Newark :
John Wiley & Sons, Incorporated,
2017.
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| Temas: | |
| Acceso en línea: | Texto completo |
Tabla de Contenidos:
- Cover; Title Page; Copyright; Contents; Introduction: A Risky Business; Notes; Acknowledgments; About the Author; Chapter 1: The Historical Context; Notes; Chapter 2: The Rogue Trader; Who Is the Rogue Trader?; The Crime of Rogue Trading; Tools of the Rogue Trader's Trade; Intraday Trading; Phantom Trades; Fake Counterparties; Slush Fund; How Rogue Traders Succeed; Can the Rogue Trader Be Stopped?; Notes; Chapter 3: Genius Traders: Who They Are and How to Catch Them; Characteristics of the Genius Trader; How to Manage Genius Risk; Notes; Chapter 4: Insider Trading; What Is Insider Trading.
- The Industry of Insider TradingTrading Floors and Chinese Walls; Raising the Bar; Notes; Chapter 5: Price Manipulation Risk: The Big Unknown; Price Manipulation; Earnings Restatements; LIBOR; Foreign Exchange; Collusion; Emphasis on Surveillance; Notes; Chapter 6: The Mortgage Mess; Mortgage Securitization; Indicators of Risk; The Aftermath; Notes; Chapter 7: Ponzi Schemes and Snake Oil Salesmen; Ponzi Schemes; Regulators and Fraud; Bribery and Corruption; Notes; Chapter 8: Rogue Computer; History of Technology in Public Markets and Increasing Risk; Flash Crash 2010; Knight Capital 2012.
- Facebook and BATSHow Problems Occur; Key Controls; Notes; Chapter 9: Funding the Bad Guys-Winning the AML Battle; Modern Practices of Money Launderers and Undetected Cash Movers; Money Launderers and Terrorists; Legislature and Regulations; Impact of Regulations; An Effective AML Program; Customer Due Diligence; Pre-Transaction Screening; Post-Transaction Monitoring; Risk Assessment; Mitigating the Risk; Notes; Chapter 10: Litigation and Big Data Risk; What Is the Risk?; Systemic Risks from Big Data; Notes; Chapter 11: Twitter Risk and Fake News Risk; Note.
- Chapter 12: Spreadsheet Risk: Should We Ban Excel?Mitigating the Risk; Notes; Chapter 13: Acts of God Risk; Note; Chapter 14: Cybersecurity-The Threat from Outside and Inside the Firewall; External Cyberthreats; Insider Threats; Taking Cybersecurity Controls to the Next Level; Notes; Chapter 15: Turning the Tables on Risk; Chapter 16: Building the Right Culture: Values, Organization, and Culture; Seeing the Value of Your Contribution; Example 1: The Rogue Trader; Example 2: Money Laundering; Fixing the Organization; Breaking Down Organizational Barriers to Change; Remove Silos.
- Management from a DistanceA Shared Language/No Jargon; An Open Society; An Ethical Culture; Notes; Chapter 17: The 360-Degree Risk Management Function; Tone from the Top: Assess Risks as Well as Goals; Risk Management Strategy; Risk Appetite; Leadership Role in Risk Strategy; Connecting Risk to the Rest of the Firm; Example 1: Counterparty Risk Decisions; Example 2: Loss Determination Decisions; Connecting Risk Managers to Each Other; Example 1: Addressing the Potential Breakup of the Euro; Example 2: Identifying the Complex Risks; Hooking up the Operational Risk Department; Notes.