Risk Management Research: https://www.mondaq.com/canada/operational-impacts-and-strategy/935926/risk-management-during-the-covid-19-pandemic-checklist-to-recovery (do not use chatgpt)

Questions:

Section A:

For the Risk Management Topic Research case you have selected, include:

Summary: a summary of the case based on the article (or articles) you used in your own words.

Include the title and publication date of the article. There should be no opinions expressed in a summary. Do not copy the abstract of the article.

Section B

Risk Management Topic Analysis: Identify and explain how the case and article you have chosen relates to, and/or exemplifies, a need for Risk Management.

Ensure to explain:

2. The types of risks facing the firm in the case.
4. What the firm and/or individuals within the firm did wrong with respect to its Risk Management Systems (or lack thereof).
6. If you were the "Risk Manager" for the firm in the case you selected, explain what you would have (or should have) done that would have avoided the "risk problems" encountered by the firm.
8. Connect the case to content from the course or other outside sources.

Section C:

Compliance Bulletin: a Compliance Bulletin that will be sent to all Investment Advisors at a fictitious Investment Dealer firm relating to the case you have selected.

The purpose of the bulletin is intended to be educational in nature, advising and cautioning Investment Advisors of the type of inappropriate conduct that they should avoid based of the circumstances of the disciplinary case. Consider, for example, including information in your bulletin that you feel would be appropriate to Investment Advisors of an Investment Dealer.

You can review a number IIROC Rules Notices in the following link to get an idea of how you can structure your Compliance Bulletin: See the following link for a number of samples:https://www.iiroc.ca/rules-and-enforcement/iiroc-rules

 

Section D: 

Provide relevant reference/ citations