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risk management financial

Questions and Answers of Risk Management Financial

Identify an emerging crime issue in your community using data available from sources such as local newspapers, online police reporting, and so forth. Frame the situation, and then identify the
Using your force field analysis, develop a cause and effect diagram for the situation.
Either using a FMECA approach or some other appropriate RCA tool, identify five risk treatment actions you would recommend to the local Chief of Police to address the issue.
How high do you assess the knowledge level of the business strategy throughout the company by the average employee? Is it your assessment that there is a robust understanding of JAA’s business
As you are aware, effective implementation of ISO 31000 involves effective design and implementation of a risk management framework and effective implementation of the risk management processes. This
Why is it important that the company be able to identify JAA’s major stakeholders?How should a company identify its stakeholders? What is meant by the concept that stakeholders select the company
What characteristics do you see in the board of directors that lend themselves to a strong tone at the top and a culture that fully embraces risk management?
If you compare the internal audit department at JAA to several that you know of currently in the marketplace, what are some of the major differences that you see at JAA that obviously have
What is your opinion of the risk (event) identification techniques in place at JAA? How do you think that the company evolved to using such techniques?
What is the linkage at JAA between the strategic objectives, context, stakeholders, and risk criteria? Support your comments with specific examples of the link in these four areas.
Why is it important that risk criteria be created as per JAA? Do you think it is possible for any reasonable risk treatment plan to be in place without creation of such criteria?
Review the risk management policy in Appendix B and describe the kinds of things that constitute a best-in-class policy.
What other types of general or specific polices can you describe to manage risks?
Why is it that “tone at the top” and a strong risk culture are critical components for a company’s success, such as what you see at JAA?
If the internal audit department did not report directly to the Audit Committee, but to the CFO, what kind of issues would this raise in your mind? Is this something that you would support? Can you
Is it important that internal audit annually reviews the company’s risk management function? What advice would you provide to a head of internal audit that was not performing such a review? Have
In many companies, it is typical for internal audit to itself perform a risk assessment which it will use for audit planning and execution purposes. Do you have any thoughts on what you see as the
Is it appropriate that internal audit provides an opinion on the integrity of work performed by the external auditors, as in the JAA case, and what do you see as pitfalls where internal audit does
What specific characteristics differentiate this external audit function from those you have seen over the past several years? How do you envision external audit fitting into JAA’s overall risk
If JAA was not using ISO 31000 and HB 436, but instead was using the COSO ERM framework and as well the new COSO internal controls framework, what challenges do you think the company would face in
Would you consider using alternative internal control frameworks and if so, which ones?
Suppose the board decided that they did not need to monitor the risks at all and that this could be delegated down to the CEO. What problems do you see occurring in future?
How would the board measure the success of their risk management?
How would the Compensation Committee use risk management in their reward and compensation process of the company?
Was it typical for middle office employees to be promoted to the front office?
When Kerviel worked in the middle office, did he show any unusual aptitude for manipulating the transaction systems?
Did DLP have any rules or disincentives designed to deter traders like Kerviel from undertaking unauthorized trading?
Why did Kerviel make such huge bets when he did not derive any personal benefit from the profits?
Had there been any previous instances or notifications of deficiencies in DLP’s controls?
Did GEDS make effective use of market risk management?
Why did financial reporting catch the fraud, not trading management, operations, or risk management?
Had there been any previous instances or notifications of deficiencies in DLP’s transaction systems?
Why did operations employees fail to validate the explanations or escalate any of the many queries relating to Kerviel’s unauthorized trades?
Did the Paris prosecutor have sufficient grounds for criminal charges against Kerviel?
Actual losses __________ the calculated level of VaR can occur: (a) Greater than (b) Less than (c) Equal to(d) Both b and c (e) All of the above.
VaR is: (a) An exact science that yields exact estimates. (b) An educated estimate of market risk. (c) A risk management tool. (d) The variability of a portfolio. (e) Both b and c.
Back-testing VaR is: (a) Not relevant. All of the underlying assumptions are correct and hold in reality. Similar assumptions are used in most financial models. (b) Extremely important. There are
Which assumption underlying VaR is the most important yet most questionable? (a) Distributional (b) Nonnegativity (c) Random walk (d) Stationarity (e) Time consistency
You may have noticed that VaR is reported as a positive number. What would a negative VaR suggest? (a) VaR is undefined. (b) Losses could be really, really bad. (c) There is a high likelihood of
Assume a portfolio is currently worth $250 million. If the portfolio has volatility of 12 percent and a holding period of 15 business days, what is the VaR estimate with 97.5 percent confidence? Now
Calculate the monthly VaR at the 99 percent and 90 percent confidence level for various market segments given below. These are average value weighted returns obtained from
What happens when markets are behaving irrationally? Do VaR estimates hold up in these types of circumstances?
How does efficient frontier analysis differ from other forms of complex risk assessment techniques?
What limitations might an analyst encounter through the use of efficient frontier analysis?
How can efficient frontier analysis results be communicated and utilized with nonmathematical decision makers?
What is your assessment of the situation?
What advice would you provide to the board of Bim Consultants?
What pitfalls should they be concerned with?
What were some of the risk sources that emerged repeatedly in evaluating the risks? How is this helpful?
How would this risk assessment aid in the decision on whether or not to proceed with the new HR strategy?
What are Jason’s options? Can he accept a risk management program that does not involve the legal department?
Do you agree with George’s arguments? Are they valid?
How would you proceed, if you were the risk officer?
If you were conducting interviews of the Akawini management team so that you could draw objective conclusions for the review described in the chapter, what questions would you ask?
What would you expect to see in the first year risk management transformation plan? What would be the typical tasks?
You have been asked to advise the Akawini management team on how they should promote and monitor the transformation of risk management in their business. What performance measures would you recommend
What is your assessment of the situation at Chessfield?
What recommendations would you provide to the regulator?
Governance regulation of Chessfield;Chessfield is a well-known American company in the sports and entertainment industry. It is headquartered in New York, and is led and governed by an outspoken and
What are the learnings and broader implications of this case?
How does Ray’s strategic objective translate to the operational level, that is, what is his key operational objective(s) for the wholesale business line?
What performance drivers, that is, the internal capabilities (e.g., people, processes, and systems), and external factors need to be present to achieve operational success?
What are the risk factors that drive the uncertainty around achieving operational objectives?
Which risk drivers are most likely to impact operational objectives?
How large of an impact might those key risk factors have? Use scenario analysis to explore the full range of potential outcomes.
Based on your analysis, what are the “significant few” factors on which Ray should focus his attention to manage the operational risks associated with the new facility?
What underlying assumptions underpin your analysis and conclusions?
What are the preconditions for conducting constructive dialogue in an organization?
Is effective risk management possible without constructive dialogue?
What are the forces that tend to undermine effective risk management in an organization?
Given its obvious value in helping an organization to understand the major risks that could prevent it from accomplishing its mission and objectives, why was the financial sector, including a
If you are a bank examiner, what are the signals you would find that would show that a bank is engaging in good risk management?
If you are a bank examiner, what are the signals you would find that would show that a bank is failing to engage in good risk management?
List and describe the challenges of implementing ERM in Poland.
The quality of risk management depends on many criteria. Discuss the criteria that can be used.
What were the main drivers for ERM implementation in Poland?
What are the pros and cons of having risk officers as part-time assignments within different functions and business units?
Can you think of a company whose strategy failed due to their failing to consider the actions of external players?
Do you think that companies need to experience a crisis to take risk seriously?
Identify some reasons why risk management practices might not take off and/or be embedded effectively in an investee company.
Who should participate in the ERM process to ensure successful implementation of this on-going program?
What should the CEO’s role be for the successful implementation and on-going performance of an ERM process?
How will senior management benefit from supporting ERM implementation?
Does ERM require reporting to executive management? If so, what types of reports are most suitable for executive management?
What do you think is the best approach in ensuring a successful implementation of ERM?Please provide a few different elements.
Regulators calculate that DLC bank (see Section 2.2) will report a profit that is normally distributed with a mean of $0.6 million and a standard deviation of $2.0 million. How much equity capital in
An investor buys 100 shares in a mutual fund on January 1, 2018, for $50 each. The fund earns dividends of $2 and $3 per share during 2018 and 2019. These are reinvested in the fund. The
The price of gold is currently $1,500 per ounce. The forward price for delivery in one year is $1,700. An arbitrageur can borrow money at 5% per annum. What should the arbitrageur do? Assume that the
Prove(a) That the definitions of duration in equations (9.1) and (9.3) are the same when y is continuously compounded and(b) That when y is compounded m times per year they are the same if the
The “weighting-of-observations” procedure in Section 13.3 gives the one-day 99% VaR equal to $282,204 and the one-day ES as $400,914. Use the spreadsheets on the author’s website to calculate
The first “volatility-scaling” procedure in Section 13.3 gives the one-day 99% VaR equal to $602,968 and the one-day 99% ES equal to $786,855. Use the spreadsheets on the author’s website to
“Some aspects of the new regulations can be expected to increase the amount of collateral posted for derivatives and some can be expected to reduce it.” Explain this statement.
Consider a delta-neutral position in a single asset with a gamma (measured with respect to percentage changes in the asset) of g (g > 0). Suppose that the 10-day return on the asset is normally
A bank has a business indicator (BI) of of 5.5 billion euros. It has had eight operational risk losses in the last 10 years. The amounts of the losses in millions of euros are: 3, 7, 15, 65, 85, 150,
A fund's risk appetite is such that it wants to be 97.5% certain it will not lose more than 25% in any one year. Using the performance of the S&P 500 between 1997 and 2016 (see Table 27.2),
Look at the data in Table 28.1. Is Lending Club good at assessing risk? Is there a reasonable trade-off between risk and return for lenders? What risks are lenders taking?
What is meant by a bubble? Consider whether the increase in the price of bitcoin in 2017 is a bubble.
With the benefit of hindsight, we can say that Kodak was in the “imaging and moment-sharing business.” What business are banks in?

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