| dc.contributor.advisor | 沈中華<br>胡星陽<br>江永浴 | zh_TW |
| dc.contributor.author (Authors) | 陳香君 | zh_TW |
| dc.contributor.author (Authors) | Chen,Hsiang Chun | en_US |
| dc.creator (作者) | 陳香君 | zh_TW |
| dc.creator (作者) | Chen,Hsiang Chun | en_US |
| dc.date (日期) | 2004 | en_US |
| dc.date.accessioned | 14-Sep-2009 09:27:40 (UTC+8) | - |
| dc.date.available | 14-Sep-2009 09:27:40 (UTC+8) | - |
| dc.date.issued (上傳時間) | 14-Sep-2009 09:27:40 (UTC+8) | - |
| dc.identifier (Other Identifiers) | G0091932207 | en_US |
| dc.identifier.uri (URI) | https://nccur.lib.nccu.edu.tw/handle/140.119/31165 | - |
| dc.description (描述) | 碩士 | zh_TW |
| dc.description (描述) | 國立政治大學 | zh_TW |
| dc.description (描述) | 金融研究所 | zh_TW |
| dc.description (描述) | 91932207 | zh_TW |
| dc.description (描述) | 93 | zh_TW |
| dc.description.abstract (摘要) | 由帶領處理三件銀行作業疏失看作業風險 | zh_TW |
| dc.description.abstract (摘要) | The initial idea to this paper is from the experience of leading the taskforces in real operating losses which included a series of plans in root cause identification, control gaps assessment, financial impact analysis, and corrective actions implementation. Secondly, a snapshot on the recent famous scandals in the world to prove the control breakage is from the similar factors but might be with different combinations. The similar factors could be concluded due to the definition of Operational Risk is clearly provided by the Basel. Thirdly, from the viewpoint of new regulation to highline the environment did change to affect the competition by different capital reserve. Finally, try to provide a comprehensive internal framework in a Bank. The content is organized to descript below per chapter. Chapter 1 is the object and approach to this paper. Chapter 2 is to brief from environment overview to highline the impact of capital charge requirement for operating risk and effect of internal control on financial reporting. Chapter 3, outlook in the recent scandals to echo the importance of internal control as well as operating risk. In chapter 4, three significant incidents from taking a lead to conduct a series of investigation taskforces, an overall picture from inside out to address the failure in operating error, the financial impact, and corrective actions plan. In chapter 5, it is to provide a design of the internal control framework, as well as the implementation in daily operation from end to end. Finally in chapter 6, making a conclusion and recommendation to wish more feedback in strengthen the control of operation risk. | en_US |
| dc.description.tableofcontents | Table of Contents Chapter 1 Objective & Approach Chapter 2. Environment Overview: Chapter 3. From Inside Out the Historical Scandal Chapter 4. Taskforces Lead for Three Incidents Chapter 5. Operational Risk Management Framework Chapter 6. Conclusion | zh_TW |
| dc.language.iso | en_US | - |
| dc.source.uri (資料來源) | http://thesis.lib.nccu.edu.tw/record/#G0091932207 | en_US |
| dc.subject (關鍵詞) | 案例 | zh_TW |
| dc.subject (關鍵詞) | Operational Risk | en_US |
| dc.title (題名) | From Incidents Handling to Suggest a Framework for Better Control of Operational Risk | zh_TW |
| dc.type (資料類型) | thesis | en |
| dc.relation.reference (參考文獻) | The Wall Street Journal on July 22, 2002 | zh_TW |
| dc.relation.reference (參考文獻) | - Word News CD-Rom by referring to http://cdnet.lib.ncku.edu.tw | zh_TW |
| dc.relation.reference (參考文獻) | - BASEL II by referring to http://www.bis.org. | zh_TW |
| dc.relation.reference (參考文獻) | - New release from MOF by referring to http://www.boma.org.tw | zh_TW |
| dc.relation.reference (參考文獻) | - Citigroup Operational Risk Policy | zh_TW |
