Controls, Procedures and Risk by David Loader
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Controls, Procedures and Risk
By David Loader

Controls, Procedures and Risk

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Format: Paperback

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Controls, Procedures and Risk by David Loader

Book Description

"Controls, Procedures and Risk" covers the skills and procedures needed to enable the monitoring and managing of risk and the authors focus on procedures design, implementation and documentation. Considerable emphasis is also given to the key controls and the importance of control functions, audit and risk management groups and policy. Case studies are used to effectively demonstrate 'success' and 'failure'. In the financial services industry risk is a constant threat to organizations of all sizes and to the markets themselves. Many industry 'events' have shown how dangerous it is when a business operates in an uncontrolled way, particularly when the lack of control was not evident to the management of the business until it was too late. Controls, procedures and risk are occupying more and more management time. The responsibility to manage the risks lies with the whole operations team. If it is successful in fulfilling this role the overall risk of the business is reduced, if it is not successful the consequences may be severe. In this book the author has deliberately focussed on the practical side of risk, controls and procedures, rather than analyse the Basel Capital Accord and the capital requirements etc.(however, the Accord and updates are contained in the Appendices). Operations teams need to be aware of risk but not overwhelmed by it. Risk management within, and by, the operations function is the focus of this book. From day-to-day risk to wider risk implications the operations function is reviewed to show the sources and implications of risk situations. The definitive series of professional references for those finance professionals concerned with 'Back office' or operations management unique to this industry. The book presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals. It is a comprehensive resource from a leading financial management consultant for global banks and institutions.

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Book Details

ISBN: 9780750654869
ISBN-10: 0750654864
Format: Paperback
(234mm x 156mm x 9mm)
Pages: 184
Imprint: Butterworth-Heinemann Ltd
Publisher: Elsevier Science & Technology
Publish Date: 25-Sep-2002
Country of Publication: United Kingdom

Books By Author David Loader

Clearing, Settlement and Custody by David Loader Clearing, Settlement and Custody, Hardback (October 2013)

Summarizes worldwide changes in the process of concluding a financial transaction. This title provides a detailed analysis of the central clearing counterparty concept, the drivers behind it, and its effects on operations teams. It illustrates the life cycle of a series of transactions to broaden the comparison process.

Jousting for the New Generation by David Loader Jousting for the New Generation, Paperback (July 2007)

Addresses a range of contemporary issues in education, and encourages critical dialogue about prevailing educational cultures. These 'jousts', as he calls them, are challenges to the status quo, written to encourage verbal repartee, argument and counter-argument.

Fundamentals of Fund Administration by David Loader Fundamentals of Fund Administration, Hardback (December 2006)

Helps those responsible for managing and supervising fund administration services by examining the decisions, actions and problems at the various stages as well as explaining the products and infrastructure that services support.

Operations Risk by David Loader Operations Risk, Hardback (December 2006)

Operations Risk - a form of Operational Risk, is becoming important as more and more sophisticated products and the use of those products occurs in the financial services industry. This book focuses on areas such as technology risk, people risk, and settlement risk, examining the dangers that lurk within different organisations.

» View all books by David Loader

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Author Biography - David Loader

David Loader is co-founder of DSC Portfolios Ltd., which specializes in global training and consultancy services for the financial industry. David has worked in the debt, equity, and derivatives markets, and his expertise in back-office dynamics is unparalleled. He has written widely on operations management, derivatives, fund administration, and operational risk.

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