A

• 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
  • deployment
  • problems
• American Revolution
• Anchoring
  • bias
  • example
• 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
  • arm, growth
  • example
• 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)

B

• 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
  • Supervision
  • tools
• 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
  • problems
• 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
  • leadership
  • success
• 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

C

• 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
  • activation
  • usage
• 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
  • absence
  • channels
• Companies, investment
• Complex risks, identification
• Compliance
  • functions, outsourcing
  • team, usage
• Comprehensive Capital Analysis and Review (Federal Reserve)
• Confidentiality requirements, impact
• Confirmation
  • automation
  • procedures
• Consent orders
• Contribution, value (recognition)
• Controllers, impact
• Controls
  • assessment
    • examples
  • 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

D

• Dallio, Ray
• Dark pools
  • trades, disappearance
• 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

E

• 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
    • examination
    • investment
  • 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
  • list, compilation
• External loss incidents
• External threats

F

• Facebook IPO
  • problems
• Facebook risks
• Fake counterparties
• Fake news risk
• Falciani, Herve
• Fat-finger errors
  • controls, example
• 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)
  • regulatory reform
• Financial engineering, growth
• Financial espionage
• Financial impact, example
• Financial risk
  • appetite
  • impact method
• Fines, imposition
• FINRA rules
• Firewall
  • creation
  • threats
• 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

G

• 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

H

• 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
  • usage
• 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

I

• 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
  • examples
• 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)

J

• Jargon, absence
• JPMorgan
  • Chief Investment Office Risk Committee proposal
  • settlements, external incidents review
• JPMorgan Chase
  • chart room/coded language, usage
  • regulator event
• JWM Partners

K

• 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)
  • process
  • risk
• Kreuger, Ivan

L

• 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
  • increase
  • loss
• 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

M

• Machine-learning applications, leverage (potential)
• Machine learning capabilities
• Madoff, Bernie
  • Ponzi scheme
    • responsibility
  • 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)
  • registry, cross-checking
• 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
  • punitive damages
• 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

N

• 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

O

• 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

P

• 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
  • losses
• 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
  • indicators
• 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

Q

• Qualitative bank assessment
• Quantitative bank assessment

R

• 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
  • assessment
• Reputational risk impact method
• Revenue
  • driving
  • generation, processes
  • increase
• Risk
  • activity, cessation
  • Acts of God risk
  • analysis
  • areas, overseeing
  • assessment
    • example
  • 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
    • connection
    • vigilance
  • mitigation
  • organization, prioritization
  • product risk
    • indicators
  • 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
    • members, shared passion
  • 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

S

• 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
    • problems
• 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
  • concerns
• 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
  • rogue trading incidents
• Software
  • release
  • tools, availability
• Spreadsheet
  • errors
  • risk
• 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
  • effect
  • example
• 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)

T

• 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
    • impact
    • risk
  • executions
    • speed
  • limit breaches
  • monitoring
  • trade-limit monitoring
• Trade surveillance
  • visualization analytics, example
• Trading
  • floors
    • trader supervision
  • losses
  • mandate
  • patterns, observance
  • risk, example
• Transactions
  • post-transaction monitoring
  • pre-transaction screening
• Transparency, increase
• Treaty of Versailles
• Twitter account, hack
• Twitter risk

U

• 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

V

• Vacation policy
• Valuation
  • models, usage
  • processes
• Value-at-risk (VaR)
• Value-at-risk (VaR) limit
  • breaching
• Values
  • importance
  • loss
• Virtual friends, connection (absence)
• Visualization techniques
  • example
  • graphing visualization techniques
• Volcker Rule

W

• 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

Z

• Zuckoff, Mitchell