Risk Management Concepts

New York Institute of Finance


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Risk Management Concepts

This course is a non-technical survey of the concepts and practice of Risk Management. The major types of risk are identified, risk management tools and techniques are reviewed and financial regulation is covered. A number of case studies are analyzed to illustrate key principles of risk measurement and management.

Prerequisite knowledge:

  • Some knowledge of financial markets and instruments

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Module 1: Introduction

  • A definition of risk
  • Sources of risk
  • Why do firms manage risk?
  • Market risk
  • Credit risk
  • Operational Risk
  • Liquidity risk
  • Systemic risk
  • Case Study: Risk measurement vs risk management - Goldman Sachs Manages Subprime Risk, 2007

Module 2: Concepts in Risk Modeling

  • Risk factors
  • Loss distributions
  • Risk measures - Value at risk (VaR), Expected shortfall (ES) or Conditional VaR (CVaR)
  • Scenario analysis and stress testing
  • Model risk

Module 3: Market Risk

  • Equity portfolio risk
  • Fixed income risk
  • Asset-liability management
  • Derivatives risk

Module 4: Credit Risk

  • Credit risk modeling concepts
  • Interpreting credit spreads
  • Counterparty risk, settlement and clearing

Module 1: Liquidity Risk

  • Properties of liquid markets
  • Embedding liquidity risk in market risk modelss
  • Case Study: Liquidity Risk - Northern Rock, 2007

Module 2: Operational Risk

  • What is operational risk? - Internal fraud, External fraud, Employment practices, obligations to clients
  • Case Study: Operational risk failures - Rogue trading at Allied Irish Bank, 2002, Customer business at Enron, 2001, Rogue trading at Societe-Generale, 2008
  • Operational value at risk

Module 3: Stress Testing

  • Scenario analysis: Historical vs hypothetical
  • Stress testing best practices
  • History of stress testing at financial institutions
  • Reverse stress testing

Module 4: Risk Regulation

  • Why regulation? - Systemic Risk, A brief history of regulation
  • Impact of the subprime crisis on regulation
  • The Basel capital accords
  • Regulatory stress testing
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