- Activity periods, nondetection (duration reduction)
- Acts of God risk
- Adoboli, Kweku
- Advisory services
- AIG, bailout
- AIG-like scenario, risk levels (growth)
- Algorithmic data mining
- Algorithms
- American Revolution
- Anchoring
- Anti-money laundering (AML)
- battle, winning
- controls
- enforcement, failure
- oversight
- failures, fines (imposition)
- legislature/regulations
- procedures, following (failure)
- program, effectiveness
- regulations
- regulator fines, example
- risk, example
- Arthur Andersen, problems
- Artificial intelligence (AI)
- tool, policy document usage
- Asset management
- Asset managers, pension funds middlemen
- Assets, changes
- Associated Press (AP) Twitter account, hack
- Asymmetric compensation structures
- Authority, national systems
- Avian flu (N7N9 virus)
- Awareness, culture (maintenance)
- Back-office systems, access
- Balance sheet, size
- Bankers, conflicts (minimization)
- Banking secrecy, violation
- Banks
- assessment types
- checks/balances, review
- data leverage
- data storage review
- employees, knowledge
- fraud detection methods/procedures review
- global banks
- compliance
- pre-transaction screening, implementation challenges
- human resources model
- IT network, security
- risk management
- secrecy laws
- trading team, Rogue Trading entrant
- VaR limit
- Bank Secrecy Act (BSA), passage
- Barclays
- chart room/coded language, usage
- fixed-income trading footprint reduction
- operational risk events
- Baring Capital
- Barings
- Barings (investment bank), collapse
- Basel Committee on Banking
- Bear Stearns
- headstones
- objectives, assessment
- regulator events
- Bear Stearns High Grade Structured Credit Fun, destruction
- Behavioral/sentiment analysis
- Berkshire Hathaway
- Bernanke, Ben
- Better Alternative Trading System (BATS) IPO
- Big Bang
- Big data
- analysis
- principles, usage
- risk
- systemic risks
- uses
- “Big Short, The” (movie)
- Bilateral agreement
- Black Monday
- Black September
- Boston Marathon bombers, identification problems
- Break the glass procedures
- Break-the-glass scenario sets
- Bribery
- Bridgewater Associates
- British National Criminal Intelligence Services, PLO activities
- British Petroleum (BP), Deepwater Horizon oil leak
- Buffett, Warren
- equities market investment
- talents/ethics
- technology stock distaste
- Build social network capabilities
- Business
- environmental factors
- goals
- knowledge, leveraging
- process
- risk management
- strategy
- Capital market manipulation
- Capital strike, experience
- Case studies (disaster planning)
- Cash movers, detection (absence)
- Cash transfers
- Cayne, James
- Change, organizational barriers (breaking)
- Checks/balances, bank review
- Chernobyl nuclear disaster (1986)
- Chief operating officers (COOs), complaints
- Chinese walls
- Citigroup
- chart room/coded language, usage
- settlements, external incidents review
- Clawbacks
- Client knowledge, risk (example)
- Code of ethics
- Code red procedures
- Cognitive reasoning engine
- Cognitive risk management, traits
- Cognitive surveillance tools
- Cognitive systems, usage
- Cognitive technologies
- Collateralized debt obligations (CDOs)
- Collusion
- Command-and-control center, centralization
- Commercial entity, dynamic
- Commercial secrecy, violation
- Commission-based trading activity, revenue (increase)
- Commodities and Futures Trading Commission (CFTC)
- action, effectiveness
- counterparty creation
- fraud identification problem
- market regulation
- regulatory environment
- rules, provision
- sales approach
- Technology Advisory Board
- Communication
- Companies, investment
- Complex risks, identification
- Compliance
- functions, outsourcing
- team, usage
- Comprehensive Capital Analysis and Review (Federal Reserve)
- Confidentiality requirements, impact
- Confirmation
- Consent orders
- Contribution, value (recognition)
- Controllers, impact
- Controls
- assessment
- dictionary
- governance controls
- mitigating controls
- preventative controls
- self-assessment
- weaknesses, documentation
- Corruption
- Counterparty
- CFTC creation
- debts/obligations
- risk decisions
- Country
- country-based lists, usage
- risk
- Create Internet-based client networks
- Credit default swaps (CDSs)
- initiation
- positions, hedge
- Credit derivatives portfolio, marking
- Credit risk
- Credit Suisse, earnings (restatement)
- Cultural tools
- Culture
- awareness, maintenance
- building
- ethical culture
- Currency trading activity, damage
- Currency Transaction Report, usage
- Customer
- accounts
- data flow, enabling
- due diligence
- information, updates
- risk appetite
- Cyber criminals, impact
- Cybersecurity (cyber security)
- controls
- incidents, reporting
- Cyberthreats
- Dallio, Ray
- Dark pools
- Data
- algorithmic data mining
- anchoring, example
- bank usage
- big data
- data-driven approach
- encryption routines/utilities, usage
- examination
- increase, operational risk (relationship)
- leverage
- mega data
- objective assessment
- objective data analysis, usage
- old data, deletion
- privacy, problem
- security, elevation
- storage, costs/risks
- substitution, example
- theft
- thin data, example
- unstructured sources
- usage
- David and Goliath (Gladwell)
- Deal teams, impact
- Deepwater Horizon oil leak (BP)
- Defensible disposal
- Delta One Desk, usage
- Delta One trading desk, promotion
- Diamondback Capital Management
- Dirty money, appearance
- Disaster planning, case studies/guiding principles
- Dodd-Frank Act
- requirements
- stress tests
- Dodd-Frank legislation
- introduction, battle
- opposition
- Domain-specific lexicon
- “Don’t Be Evil” (Google)
- Downstream consequences
- Drew, Ina
- Due diligence process
- Dutch Republic, religious beliefs
- Duties, segregation
- Earnings restatements
- eDiscovery
- Education
- Eisman, Steve
- Electronic markets, power groups
- Emotional temperature, changes (display)
- Employees
- communications, monitoring
- engagement/interconnectedness, levels
- fulfillment
- motivation
- relationships, visualization techniques (example)
- Employees, bank knowledge
- Engagement letters
- Enron, problems
- Entebbe, raid
- Equities
- markets
- position hedge
- priority
- trading, example
- Errors, chain
- Espionage, usage
- Ethical culture
- Ethical risk appetite
- Ethical values, sharing
- Euro, breakup (addressing)
- Event causes, documentation
- Excel, usage (cessation)
- Exception processing
- Executions, arbitrage
- External cyberthreats
- External incidents
- External loss incidents
- External threats
- Facebook IPO
- Facebook risks
- Fake counterparties
- Fake news risk
- Falciani, Herve
- Fat-finger errors
- Federal National Mortgage Association (FNMA), compensation
- Federal Reserve
- Comprehensive Capital Analysis and Review
- risk taking regulation
- Fiduciary responsibility, absence
- Financial Action Task Force (FATF), founding
- Financial asset, value
- Financial crisis (2008)
- Financial engineering, growth
- Financial espionage
- Financial impact, example
- Financial risk
- Fines, imposition
- FINRA rules
- Firewall
- Firm
- culture, connections (building)
- management, business assessment
- risk
- connection
- profile, understanding
- stature
- Fixed income securities, trading systems
- Flash Boys (Lewis)
- Flash crash (2010)
- Foreign Corrupt Practices Act (FCPA)
- Foreign exchange (FX)
- collusion
- markets, criminality
- scams
- scandals
- trading scandal/tools/models
- France, invasion
- Fraud
- detection methods/procedures, bank review
- Friehling, David G.
- Front Point Partners
- Front-running
- Future
- knowledge
- mitigation, past (understanding)
- Future losses, prediction
- Galleon Group
- Genius risk
- indicators
- management process
- Genius traders
- characteristics
- impact
- indicators/controls
- risk
- Gladwell, Malcolm
- Global banks
- compliance
- pre-transaction screening, implementation challenges
- Global lists, usage
- Global market dislocations
- Goals, assessment
- Goldman Sachs
- employees, standards commitment
- insider information
- online personal banking unit
- positions, hedge
- risk managers, actions
- Good information, advantage/ importance
- Gorbachev, Mikhail
- Governance controls
- Government, role
- Grant, Adam
- Graphing visualization techniques
- Great Depression, causes
- Grove, Andy
- Guiding principles (disaster planning)
- multiple scenarios/optionality, development
- political will, building
- scenarios, strategies (development)
- world, change (understanding)
- Gupta, Rajat
- Habsburg Empire, rebellion
- Hedge Fund Association, hedge fund professional survey
- Hedge funds
- accounts
- closures
- ethical boundaries
- professionals, survey
- transparency, increase
- HedgeWorld, hedge fund professional survey
- Heuristics
- Higgs, David
- High-functioning risk organization, risk governance framework
- High Grade Credit Opportunities fund
- High-risk user tools, isolation
- High-speed trading operations, SEC examinations
- House of Rothschild, rise
- Housing market, change
- HSBC
- clients, files (relationship)
- risk identification
- Hurricanes Katrina/Sandy, damage
- Incentive structure, placement
- Incident capture
- complications
- information
- systems
- Incidents
- analysis
- external incidents
- external loss incidents
- internal loss incidents
- Incorrect-amount trade errors
- Indemnification clause
- Industry risk
- Information
- assets, infiltration
- defining
- exchange, unwillingness
- sales information
- Information technology (IT)
- controls
- employees/vendors, role
- failures, losses
- governance
- investments
- problems, occurrence
- release management practices
- Initial price offerings (IPOs), problems
- Innovation, usage
- Insider information
- Insider threats
- identification/mitigation
- Insider trader controls/analytics framework
- Insider trading
- analysis
- charges, hedge funds closures
- description
- industry
- industry, middleman (impact)
- risk, indicators
- Intellectual authority
- Interconnectedness
- Inter-connectedness
- Interest-only mortgages, demand
- Interest rates (derivative products)
- Internal accounts, proliferation
- Internal incidents, list (compilation)
- Internal loss incidents
- Internal threats
- International Monetary Fund (IMF)
- Internet Bubble (1990s)
- Intraday position excesses, examination (absence)
- Investment
- cross-checking
- process, transparency
- strategy
- thesis, research (absence)
- Investment banks
- asset management arm, growth
- change
- concerns
- control
- incentive structure
- normative culture
- systems
- trader limitations
- IRA bombing campaigns
- Iron Dome Defense Shield, usage
- Israel, intelligence gathering
- Issues, debate (willingness)
- Jargon, absence
- JPMorgan
- Chief Investment Office Risk Committee proposal
- settlements, external incidents review
- JPMorgan Chase
- chart room/coded language, usage
- regulator event
- JWM Partners
- Kahneman, Daniel
- Kashkari, Neel
- Kennedy, John F.
- Kennedy, Joseph
- Kerviel, Jerome (losses)
- Knight Capital
- failures
- headstones
- objectives, assessment
- software errors (2012)
- Know your client (KYC)
- Kreuger, Ivan
- Labaton Sucharow, hedge fund professional survey
- Lagarde, Christine
- Lagarde list (Falciani)
- Leadership
- business strategy
- national systems
- provision
- Learning, application
- Leeson, Nick
- Legal team, usage
- Lehman Brothers
- bond offering/collapse
- headstones
- Lending rates, usage
- Leverage, increase
- Lewis, Michael
- Liars Poker (Lewis)
- LIBOR settlement
- Life cycle governance
- Limit management, absence
- Lippman, Gregory
- Liquidity
- Litigation
- big data risk, relationship
- risk, example
- settlements
- London Interbank Offered Rate (LIBOR)
- investigations
- lessons
- rate (determination), lending rates (usage)
- scams
- scandals
- London Stock Exchange
- Long Term Capital, closure
- Loss
- capture, time/resources (usage)
- determination decisions
- future losses, prediction
- internal loss incidents
- mismarking, contrast
- Machine-learning applications, leverage (potential)
- Machine learning capabilities
- Madoff, Bernie
- Ponzi scheme
- scheme
- SEC investigation
- sentencing
- Maginot Line
- Maginot Line of Defense, building
- Management
- distance
- risk management function
- 360-degree risk management function
- Markets
- destabilization
- participation, increase
- regulation
- risk
- transparency, battle
- values
- Markopolos, Harry
- Massive ongoing fraud, SEC violations
- Match kind
- Material non-public information (MNPI)
- Media exposure impact method
- Mega data
- Mergers and acquisitions (M&As) advisory
- Meyer, Marissa
- MF Global, headstones
- MF Global, problems
- Mirror trades
- Mitigating controls
- Model Risk and Control, controls
- Model Risk Control, rigor (increase)
- Moneyball (Lewis)
- Money launderers
- impact
- practices
- value, contribution
- Money laundering
- risk, Mexico (identification)
- Money Laundering Control Act, passage
- Money laundering process, steps
- Money, tracking (legislature/regulations)
- Morgan Stanley
- Mortgage
- interest-only mortgages, demand
- losses, aftermath
- market, long position
- mortgage-based credit funds
- mortgage-related risks, concentration
- origination division
- payments
- problems
- securities market, trader/firm dependence
- securitization
- Multiple scenarios, development
- National Association of Securities Dealers (NASD), Madoff activity
- Natural language processing techniques, importance
- Networking opportunities
- Networks, infiltration
- New Castle Funds
- New product approvals
- New York Stock Exchange (NYSE)
- Nonapproved pricing models, usage
- Nordlicht, Mark
- Nottingham Polytechnic
- Objective data analysis, usage
- Office of Foreign Assets Control (OFAC)
- illegal entities list
- OFAC-blocked transaction reports
- sanctions
- Old data, deletion
- O’Malia, Scott
- Open self-analysis, principle (embedding)
- Open society
- creation, willingness
- issues, debate (willingness)
- Operational management
- Operational risk
- categories, impacts
- coverage officers, impact
- data increase, relationship
- departments, role
- events
- framework, development
- identification
- incidents
- losses
- scenarios
- upgrade
- Operational risk departments
- connection
- external/external incidents list, compilation
- improvement
- role, upgrade
- Operational threats
- Optionality, development
- Organization
- importance
- information collection
- repair
- Organizational barriers, breaking
- Organizational structure, impact
- Ownership, changes
- Past, understanding
- Paulson, John
- Peer equity trading firm, computer algorithm incident
- Peer fixed income trading firm, LIBOR settlement
- Pennebaker, James
- Peregrine Financial Group
- Peregrine Ponzi scheme
- CFTC identification failure
- Phantom trades
- Phishing scam
- Platinum Partners, scandal
- Political will, building
- Ponzi, Charles
- Ponzi risk factor analysis
- Ponzi schemes
- Ponzi’s Scheme (Zuckoff)
- Portfolio managers, supervision
- Positive Psychology
- Present-value calculations
- Pre-transaction screening
- Preventative controls
- Price manipulation
- controls/analytics framework
- losses
- risk
- identification, focus areas
- Price models, control/edit
- Price verification
- Pricing, valuation
- Primitive tribal societies, examination
- Prince, Charles O.
- Privacy
- bank respect
- data privacy, problem
- Product approvals
- Product risk
- Product strategy
- Profit and loss analysis
- Profit and loss reviews
- Proprietary trading
- Psychological insight, usage
- Psychology, usage
- Public markets, technology (history)
- Pump-and-dump violation
- Qualitative bank assessment
- Quantitative bank assessment
- Rajaratnam, Raj
- Regional lists, usage
- Regulations
- impact
- open mind
- parsing, process (steps)
- Regulators
- impact
- role
- rules, provision
- Regulatory attention
- Regulatory change management
- Regulatory compliance management
- Reinhart, Carmen
- Reputational impact
- Reputational risk impact method
- Revenue
- driving
- generation, processes
- increase
- Risk
- activity, cessation
- Acts of God risk
- analysis
- areas, overseeing
- assessment
- controls
- counterparty risk decisions
- country risk
- cultures
- defining
- dictionary
- disciplines
- discussion, forums
- fake news risk
- firms, connection
- functions, collaboration
- governance framework
- identification
- examples
- functions, collaboration
- increase
- indicators
- industry risk
- issues
- language, building
- managers
- mitigation
- organization, prioritization
- product risk
- profile, understanding
- protection
- reputational risk impact method
- risk factor analysis
- risk-scaling method
- self-assessment
- spreadsheet risk
- strategy, leadership role
- taking, regulation
- taxonomy
- tolerance
- tools
- training
- Twitter risk
- Risk appetite
- customer risk appetite
- ethical risk appetite
- financial risk appetite
- statements
- Risk management
- cognitive risk management, traits
- education
- government/regulator role
- impact
- interconnectedness
- money, usage
- practice
- shared ethical values
- society
- strategy
- Risk management functions
- collaboration
- connection/inter-connection, building
- integration
- Rochdale Securities
- failures
- objectives, assessment
- trading activity
- Rogoff, Kenneth
- Rogoff-Reinhart arguments
- Rogue computer
- Rogue trader
- cessation, possibility
- contribution, value
- controls/analytics framework
- names, ranking
- risk, indicators
- success, process
- trade tools
- Rogue trading, crime
- Roosevelt, Franklin D.
- Rothschild, Nathan
- Royal Bank of Scotland
- chart room/coded language, usage
- fixed-income trading footprint reduction
- SAC Capital
- Sales information
- Salomon Brothers
- Savings and loans industry, implosion
- Scenario analysis
- Scenario planning
- component, usages
- power, basis
- Securities
- law, violation
- price levels, stability
- trader pricing
- trades
- valuation
- Securities and Exchange Act (1934)
- Securities and Exchange Commission (SEC)
- Enforcement Division, enforcement enhancement
- market regulation
- Whistleblower Program
- Self-analysis
- Self-confidence, usage
- Seligman, Martin
- Senate investigation
- Senior management
- Serageldiln, Kareem
- Settlements
- Severe acute respiratory syndrome (SARS), outbreak
- Shared ethical values
- Shared language
- Shareholders, lawsuits/ settlements
- Siddiqui, Salmaan
- Silos
- removal
- requirements, impact
- Six-Day War
- Slush fund
- Snake oil salesmen
- Snowden, Edward
- Social media, usage
- Social networks
- Societe Generale
- Software
- release
- tools, availability
- Spreadsheet
- Standard & Poor’s fraud, civil law suit
- Stanford, Allen
- Stanford Financial Group
- Stock market, gyrations
- Stocks
- focus/concentration
- investment
- Stress tests
- Structured notes
- Subprime space, adjustable rates
- Substitution
- Superfast trade execution engines
- Superstorm Sandy, aftermath
- Supervision
- Surveillance
- capabilities
- emphasis
- reactive/passive process
- systems
- systems, cognitive reasoning engine
- technologies
- Suspicious activity reports (SARs)
- Suspicious transaction reports (STRs)
- System design priorities
- System entitlements
- Systemic risks (big data)
- Tax avoidance
- Technology
- harnessing
- history
- IPOs
- usage
- Terrorism, fight
- Terrorists, impact
- Thin data, example
- Third-party services
- Threats
- external cyberthreats
- external threats
- firewall threats
- insider threats
- internal threats
- 360-degree risk management function
- Times Square bomb plot
- Traders
- cautiousness
- conversations/trades, monitoring
- end-of-day limits
- limitation
- limits, flouting
- market dependence
- supervision
- systems, usage
- valuations
- violation, susceptibility
- Trades
- cross-checking
- disappearance
- execution errors
- executions
- limit breaches
- monitoring
- trade-limit monitoring
- Trade surveillance
- visualization analytics, example
- Trading
- floors
- losses
- mandate
- patterns, observance
- risk, example
- Transactions
- post-transaction monitoring
- pre-transaction screening
- Transparency, increase
- Treaty of Versailles
- Twitter account, hack
- Twitter risk
- UBS
- fixed-income trading footprint reduction
- losses
- operational risk events
- rogue trading incidents
- Understanding, overestimation (example)
- Underwriting business, example
- Undetected cash movers, practices
- United Nations, global list (usage)
- United Provinces, rebellion
- U.S. Civil War, disagreements
- U.S. Treasury, risk taking regulation
- Vacation policy
- Valuation
- Value-at-risk (VaR)
- Value-at-risk (VaR) limit
- Values
- Virtual friends, connection (absence)
- Visualization techniques
- example
- graphing visualization techniques
- Volcker Rule
- Wall Street Crash (1929)
- Wasendorf, Sr., Russell
- Watson (IBM), learning (application)
- Wells Fargo, scandal
- Whistleblower Program (SEC)
- White, Mary Joe (appointment)
- Workflow requirements, impact
- Work quality, impact
- World, change (understanding)
- WorldCom, problems
- Wrong-way trades
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