操作风险二学习.pptxVIP

AIM 69.1 Identify the primary justifications for the existence to of banking regulation;AIM 69.2 Discuss the potential moral hazard issues associated with fixed-rate deposit insurance.;AIM 69.4 Identify the primary goals of the Basel Committee in developing the Basel Ⅱ Accord.;AIM 69.5 Describe how the necessary components for calculating capital requirements are determined under the standardized and internal ratings-based approach.;AIM 69.7 Discuss the five common criticisms of the Basel II framework.;Legal Issues;AIM 70.1 Identify the similarities across past major financial shocks.;AIM 70.2 List and discuss fundamental approaches that anticipate financial shocks and limit their severity.; Restructuring troubled companies in the future may be different. Strong cooperation between industry participants. ;AIM 70.3 List and discuss recommendations and guiding principles concerning risk management and risk related disclosure practices ,financial infrastructure, complex financial products, and other emerging issues in financial markets.;Recommendations Concerning Credit Derivatives. Recommendations For Complex Financial Products. Guiding Principles Concerning Firm Governance. Guiding Principles Concerning Financial Intermediary and Client Relationships in Complex Product Transactions. Recommendations Concerning Risk Management and Monitoring. Guiding Principles Concerning Transparency. Recommendations For Emerging Issues. Emerging Issue 1:Selling Complex Products to Retail Investors.;Emerging Issue 2:Managing Conflicts of Interest. Emerging Issue 3:Risk Management for Institutional Fiduciaries. Emerging Issue 4:Oversight for Hedge Funds.;AIM 70.4 List and discuss supervisory challenges identified by the CRMPG;Legal Issues;AIM 71.1 Discuss the scope of the Basel II Accord and how it applies to various bank subsidiaries or business relationships.;AIM 71.2 Define the types of capital, and discuss how each type is used to meet capital requirements under Basel II.;AIM 71.3