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Research on Operational Risk Management of Bank Staff

Author: YangJing
Tutor: ShenPeiLong
School: Shanxi University of Finance
Course: Finance
Keywords: Operational risks Game Model Behavioral Finance Principal-agent Theory
CLC: F832.2
Type: Master's thesis
Year: 2012
Downloads: 215
Quote: 0
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With the increasingly expansion of banks and innovation of financial products in late20s,commercial banks are exposed to growing operational risks and the case of operational risks inthose major banks alarm the global banking. Basel Accord (draft) was issued in2001by Baselcommittee, new requirements were raised to operational risks (for instance, banks have to disposecertain amount of capital to prevent such risks), which demonstrated that the international theoryand practice circle had laid great importance on operational risks and had new understanding on themanagement such risks. In the year of2005, the China Banking Regulatory Commission (CBRC)issued a document “On putting more efforts on the prevention of operational risks”, which showedthat China’s finance circle and banking had highlighted the management of operational risks. Fromperspective of present situation of China’s commercial banks, it is in the initial stage in themanagement of operational risks. The academia in China focuses on this management much fromthe point of financial engineering, which is disconnected from the present situation. Therefore,targeted research must be carried out in the light of main reasons that caused the operational riskshappened in China’s Commercial Bank, so that banks’ international competitiveness can bestrengthened.This essay has following parts: primarily, analysis on domestic and foreign literature on thisfield and a brief introduction on the definition, the classification, measurement and characteristic ofoperational risks are put forward. On the base of these things, main factors that caused operationalrisks occurred are concluded in accordance with cases and statistics. Secondly, a study is carried oncombined with Game Model and Behavioral Finance, the requirements that banking practitioners donot do counter-rules operations are concluded. Then, the writer analyzes the salary system inbanking so as to propose incentive measures for the staff. Finally, some advice on operational risksmanagement is emphasized by using Principal-agent Theory, hoping to improve the level ofmanagement in operational risks and international competitiveness.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Banking system and business
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