Risk Management and Market Conduct

Required:
You are required to submit the following:
Section A: 
For the Risk Management Topic Research case you have selected, include:
Summary:  Write a summary of the case based on the article (or articles) you used in your own words. 
Include the title and publication date of the article. There should be no opinions expressed in a summary. Do not copy the abstract of the article. Tip: In order to express the facts in your own writing style and words: read the article(s) several times, jot down key facts and then write your summary without looking at the article, only at your notes. 
 
(Length: 1 page)
 
Section B
Risk Management Topic Analysis:  Identify and explain how the case and article you have chosen relates to, and/or exemplifies, a need for Risk Management.
Ensure to explain:
1. The types of risks facing the firm in the case.
2. What the firm and/or individuals within the firm did wrong with respect to its Risk Management Systems (or lack thereof).
3. If you were the “Risk Manager” for the firm in the case you selected, explain what you would have (or should have) done that would have avoided the “risk problems” encountered by the firm.
4. Connect the case to content from the course or other outside sources. 
 
 
 
 
 



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