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1、Past financial disasters have resulted when a firm allows a trader to have dual roles as both the head of trading and the head of the back-office support function. Which of the following case studies did not involve this risk?

I Drysdale Securities

II Daiwa

III Allied Irish Bank

IV Barings

A. I only

B. II and IV

C. I and III

D. I, II, and IV

Answer: C

The rogue traders for both Daiwa and Barings had dual roles as both the head of trading and the head of the back-office support function. This operational risk oversight allowed them to hide millions in losses from senior management. In the Allied Irish Bank case, John Rusnak did not run the back-office operations. The Drysdale Securities case did not deal with a rogue trader.

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