Risk Management Research:

Research and select at least one article relating to a Risk Management case within the last 5 years (Jan 1, 2018, onward) that exemplifies a firms breakdown of its risk management system or processes.

Research for your articles/material can be from the following sources:

ABI/Inform

Canadian Major Dailies

Canadian Business and Current Affairs

Articles/material from newspaper or magazine websites are also acceptable.

You are to select your own articles and must not lend articles to other students.

Required: You are required to submit the following:

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

Summary: Write a summary of the case based on the article (or articles) you used in your own words. (Length: approx. 1 page)

- 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:

The types of risks facing the firm in the case.

What the firm and/or individuals within the firm did wrong with respect to its Risk Management Systems (or lack thereof).

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.

Connect the case to content from the course or other outside sources.

(Length: approx. 2 to 3 pages)

- Section C:

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