Back Office and Operational Risk
Symptoms, Sources and Cures
Paperback
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ISBN-13:
9781906659363
Veröffentl:
2010
Einband:
Paperback
Erscheinungsdatum:
11.01.2010
Seiten:
344
Autor:
Mervyn J. King
Gewicht:
524 g
Format:
234x156x19 mm
Sprache:
Englisch
Beschreibung:
This fully revised and updated third edition of the groundbreaking book Back Office and Beyond, now retitled Back Office and Operational Risk, is an essential read for anyone working in a financial organisation: whether front, middle or back office; trainee, staff or manager.
With practical guidance and advice throughout, including key excerpts from international financial authorities, this book details all you need to know to ensure your organisation avoids the various pitfalls of operational risk. It provides rigorous instruction and information including:
- Basic responsibilities and systems at all levels.
- Specific demands of numerous deal types and products, from capture to clearing.
- Reconciliations and investigations.
- Risk management, identification and control.
In the aftermath of the 2008-2009 financial crisis, there has never been a more important time for institutions to ensure they are secure from the hazards of operational risk. This book is written by an expert in the field of operations, a former designer of the ACI Dealing Certificate with over twenty years' senior treasury experience, and should help ensure that any organisation both survives and thrives in the face of widespread daily hazards.
With so many banks offering similar products and pricing, accurate and speedy settlements have become a competition issue not to be ignored. The first two editions of this book became the benchmark references for best practice in back office procedures, and this new edition builds on this solid foundation to offer a fully updated and revised guide.
With practical guidance and advice throughout, including key excerpts from international financial authorities, this book details all you need to know to ensure your organisation avoids the various pitfalls of operational risk. It provides rigorous instruction and information including:
- Basic responsibilities and systems at all levels.
- Specific demands of numerous deal types and products, from capture to clearing.
- Reconciliations and investigations.
- Risk management, identification and control.
In the aftermath of the 2008-2009 financial crisis, there has never been a more important time for institutions to ensure they are secure from the hazards of operational risk. This book is written by an expert in the field of operations, a former designer of the ACI Dealing Certificate with over twenty years' senior treasury experience, and should help ensure that any organisation both survives and thrives in the face of widespread daily hazards.
With so many banks offering similar products and pricing, accurate and speedy settlements have become a competition issue not to be ignored. The first two editions of this book became the benchmark references for best practice in back office procedures, and this new edition builds on this solid foundation to offer a fully updated and revised guide.
About the AuthorAcknowledgementsIntroduction1. Basic responsibilities and systems2. Deal capture3. Validation and payment4. Settlement, netting and clearing5. Reconciliations and investigation6. Risk management, controls, compliance, documentation7. Operational Risk - Identification and Control8. Specific caveats by deal type9. DerivativesSelf TestsAPPENDICES1. Market interactivity2. SWIFT3. The Model Code4. Repo settlements5. EBA6. Major ISO Trading Currency Codes7. ACI formulae8. Options9. Payment outcomes10. BIS data11. EUR data12. HYSE.Euronext Contracts13. Glossary of terms14. CPSS, Progress in Reducing FXSR 30315. CLSRecommended ReadingIndex
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