SOA QFI Track 参考书超全大合集
https://bbs.pinggu.org/thread-6906828-1-1.html
文章名称:The Top 10 Operational Risks: A Survival Guide for Investment Management Firms
发行机构:SEI Knowledge Partnership
出版信息:2011
共49p,文字版(非扫描版)PDF
文章说明:Holly Miller和Philip Lawton在2010年出版The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds一书,随后Holly加入SEI投资管理机构并于2011年发布了十大操作风险书籍的线上总结版本,并增加了总结章节以便读者加强理解。本文即为SEI于2011年发行的线上总结版。
目录:
Introduction
Chapter 1 Complacency – Trivializing and Disregarding Risks
Chapter 2 The Blind Leading the Blind – Overextended and Underqualified Managers
Chapter 3 Novices, Apprentices and Soloists – Inadequate Training or Cross-Training
Chapter 4 Dropped Batons – Information Hand-offs
Chapter 5 Naïve Reliance on Technology – The Downside of Automation
Chapter 6 Playbooks – Workflow Documentation
Chapter 7 Amalgamated Assignments – Improper Segregation of Duties
Chapter 8 Reconciliation Gaps – A False Sense of Security
Chapter 9 Reading The Fine Print – Know Thy Legal Entities
Chapter10 Poor Planning and Slow Response Times – Changes in the Firm, the Marketplace and the Regulatory Environment
Conclusion Table of Contents