SOA QFI Track 参考书超全大合集

https://bbs.pinggu.org/thread-6906828-1-1.html

文章名称：The Top 10 Operational Risks: A Survival Guide for Investment Management Firms

发行机构：SEI Knowledge Partnership

出版信息：2011

共49p，文字版（非扫描版）PDF

文章说明：Holly Miller和Philip Lawton在2010年出版The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds一书，随后Holly加入SEI投资管理机构并于2011年发布了十大操作风险书籍的线上总结版本，并增加了总结章节以便读者加强理解。本文即为SEI于2011年发行的线上总结版。

目录：

Introduction
Chapter 1   Complacency – Trivializing and Disregarding Risks
Chapter 2   The Blind Leading the Blind – Overextended and Underqualified Managers
Chapter 3   Novices, Apprentices and Soloists – Inadequate Training or Cross-Training
Chapter 4   Dropped Batons – Information Hand-offs
Chapter 5   Naïve Reliance on Technology – The Downside of Automation
Chapter 6   Playbooks – Workflow Documentation
Chapter 7   Amalgamated Assignments – Improper Segregation of Duties
Chapter 8   Reconciliation Gaps – A False Sense of Security
Chapter 9   Reading The Fine Print – Know Thy Legal Entities
Chapter10  Poor Planning and Slow Response Times – Changes in the Firm, the Marketplace and the Regulatory Environment
Conclusion  Table of Contents