cc
2021-04-11 08:40請問這個題目是不是也違反了Principle 4 (develop risk appetite and tolerance statements). C選項錯在哪里呢
所屬：FRM Part II > Operational Risk and Resiliency 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個回答
185****8043助教
2021-04-12 13:57
該回答已被題主采納
同學(xué)你好，“ George has been forced to increase the riskiness of his positions despite the written risk appetite and tolerance statements provided to all employees of the bank”這句話違反了principle5，應(yīng)該與銀行的風(fēng)險偏好和風(fēng)險容忍度相一致；“The bank seems happy with his performance so George takes that as a sign of approval of his methods for improving profitability”這里違反了principle 6，高管應(yīng)該了解風(fēng)險和風(fēng)險引發(fā)的誘因。題目中并沒有提到董事會應(yīng)該做什么事情，也沒有提到公司治理框架，所以C選項不能選
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追問
請問C選項中的Principle 4 (develop risk appetite and tolerance statements)是不是也違反了呢
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追答
principle4是站在董事會角度要識別銀行愿意承受的操作風(fēng)險的類型和級別，董事會還要通過風(fēng)險偏好和風(fēng)險承受力申明。題目中風(fēng)險偏好和承受力申明是制定了的，也并沒有提到董事會，所以不違反
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