| 作者简介： David Loader is Managing Director of the London based Derivatives and Securities Consultancy Ltd (DSC). DSC provides various consultancy and educational services to a wide range of financial institutions globally. David has over thirty years’ experience in the finance industry, particularly in operations, gained in a number of major organisations including SG Warburg Group where he was Operations Director. He is heavily involved in financial education and training, as a Director of Computer Based Learning Ltd (providing e-learning solutions to the financial services industry), and as an author and presenter of training courses for The Securities and Investment Institute. David is a member of The International Guild of Bankers, The Institute of Directors and The Securities and Investment Institute. |
| Preface About the author 1 THE CHALLENGE The profile of operations Operations is a business The challenge of change The challenge of management style. The challenge of global markets The challenge of personal goals The challenge of dealing with events 2 THE MANAGEMENT PHILOSOPHY Reporting lines 3 THE MANAGEMENT OF RISK Market risk Characteristics of the products used Management risk Inadequate procedures and controls Information or reporting risk Market or principal risk Credit or counterparty risk Operational risk Means of reducing settlement risk Personnel/HR risk Liquidity risk Systemic risk Financial or treasury risk Technology risk Systems failures Technology awareness Legal risk Regulatory risk Reputation risk Other risks Malicious risk Country risk Understanding risk …… 4 SECURITIES FINANCING. 5 TREASURY AND FUNDING. 6 RESOURCE MANAGEMENT. 7 TECHNOLOGY IN OPERATIONS. 8 PROCEDURAL DOCUMENTATION–CAPTURING THE KNOWLEDGE BASE. 9 CLIENT MANAGEMENT. 10 MANAGEMENT INFORMATION. 11 OUTSOURCING/INSOURCING OPERATIONS FUNCTIONS. 12 INDUSTRY DEVELOPMENTS. Appendices. A FATF DOCUMENTS ON THE FORTY RECOMMENDATIONS. B FATF–GAFI. C CONSOLIDATED KYC RISK MANAGEMENT. Glossary. List of abbreviations. Useful websites and suggested further reading. Index. |
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