安同學
2024-07-29 09:30Legal 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
所屬：CFA Level I > Corporate Issuers 視頻位置 相關試題
來源： 視頻位置 相關試題
1個回答
開開助教
2024-07-30 09:30
該回答已被題主采納
同學你好，
CFA這里可能和FRM的定義是有所區(qū)別的，會區(qū)分的更細一點。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.
也就是缺乏有效的內控制度和監(jiān)督流程，使得某些利益相關方可以通過損害其他利益相關方獲利。
原版書也說了，除了operation之外，還有l(wèi)egal, regulatory, reputational, and financial risks。所以，CFA傾向于認為這些風險是和operational risk并行的，而不是包含關系。
如果答疑對你有幫助，【請采納】喲~。加油，祝你順利通過考試~
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