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【风险管理基础&定量】FRM一级每日试题精选

发表时间:2015-03-20 来源:金程frm 告诉小伙伴:
【编者按】【风险管理基础&定量】FRM一级每日试题精选
【风险管理基础&定量】FRM一级每日一题 
 
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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