安同学2024-07-29 09:30:54
安同学Legal Risk 不也是 Operation Risk嗎? Basel Committe 也就明確指出Operational ris is defined in the capital framework as the risk of loss resulting from inadequate of failed internal processes, peopole and systems or from external events. This defeinition includes leagal risk, but excludues strategic and reputational risk
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开开2024-07-30 09:30:04
开开同学你好，
CFA这里可能和FRM的定义是有所区别的，会区分的更细一点。在CFA的公司治理中，operational risk指的是Corporations with weak control systems, ineffective decision-making, or inefficient monitoring often face adverse results with respect to their operations, performance, and value.In the absence of adequate controls, one stakeholder group may benefit at the expense of others.
也就是缺乏有效的内控制度和监督流程，使得某些利益相关方可以通过损害其他利益相关方获利。
原版书也说了，除了operation之外，还有legal, regulatory, reputational, and financial risks。所以，CFA倾向于认为这些风险是和operational risk并行的，而不是包含关系。
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