Good Risk Governance Pays

Good Risk Governance Pays

Investment Best Practices | Risk Management | Valuation

Tag Archives: Rogue Trading

Trading Ahead Of Investment Policies and Procedures

Posted in Compliance, Fiduciary Liability, Governance, Investment Management, Non-Profits, Risk Management, Trading
In response to a recent request by a reporter, I examined some public documents relating to what appears to be unauthorized trading. As is the situation when only some information is available, it’s hard to tell whether said trades can be characterized as rogue, mistaken or deemed to fall within a broader, albeit ill-communicated, mandate. Should this matter proceed further, obviously… Continue Reading

Background Checks and Key Person Risk, Post Madoff

Posted in Compliance
As problems mount during these difficult economic times and lessons are learned from the scandal du jour and the lawsuits making their way through the legal pipeline, one thing is clear. Unearthing information about the individuals who control billions of dollars is fast becoming a critical element of doing one’s homework. It’s not that background checks are more important than before. To the contrary, investigations… Continue Reading