CA Final RM Index

RISK MANAGEMENT INDEX - ICAI STUDY MAT
S NO TOPIC PAGE
1 5 C's of Credit - Borrower Credit Risk Mgmt 6.13
2 Absense of Risk Management 1.3
3 Account Receivable Days - Working Capital Analysis 6.32
4 Accounting System - Technology Risk 9.19
5 Additional Risk 1.7
6 Advanced Management Approach (AMA) - Basel II 2.22
7 Agriculture Loan - Fund-Based Credit Facility 6.7
8 Aguilar's Scanning the Business Environment Book 2.20
9 Aligning Risk Criteria to Business Strategy 8.2
10 Alignment of Risk with Strategy 4.2
11 Allocated Risk Capital - RORAC 6.29
12 Alpha - Risk Measure for RAROC 6.28
13 Altman Z Score - Quantitative CRM 6.26
14 Altman Z' Score - Quantitative CRM 6.27
15 Altman Z'' Score - Quantitative CRM 6.27
16 Amanda Dcosta 2.20
17 Ambiguity 1.15
18 Analyse business and environment factors - PESTLE+SWOT 2.20
19 Analysing the Level of Risk 2.25
20 Applications of Stress Testing 5.8
21 Areas to be addressed in ORM Policy 9.5
22 Artificial intelligence - applications 9.35
23 Artificial intelligence - RM 9.35
24 Aspects of Credit Due Diligence in Wholesale financing 6.14
25 Assessment of Risk 2.5
26 Audit Committee responsibility - Governance Risk 7.4
27 Audit Risk - Definition 1.5
28 Audit Risk and Sampling 7.9
29 Audit Strategy + Risk Maturity 8.7
30 Auditor's Responsibility - ICAI Guidance note - Operational Risk 9.3/9.4
31 Authorisation/Approval - Controls - Types - prevention of inherent risk 9.16
32 Automated Controls - Controls - Types - prevention of inherent risk 9.16
33 Availabilities - Case Study 3.13
34 Bank Credit Risk - factors affecting it 6.4
35 Bank for International Settlement (BIS) - Default defintion 6.20
36 Bank Guarantee - Non-Fund Based Credit Facility 6.7
37 Bank Stability 1.7
38 Banking Transactions - Credit Risk Measurement 6.3
39 Barclays - Case Study 3.13
40 Basel Committee on Banking Supervision (BCBS) - Stress Testing 5.13
41 Basel II - Credit Risk - Short Note 6.11
42 Basel II - Credit Risk Mitigation 6.10
43 Basel II - Lines of Defence - Operational Risk 9.7
44 Basel II - Operational Loss Data Management 9.28
45 Basel II - Operational Risk meaning 9.1
46 Basel II - Pillar 2 - Stress Testing 5.14
47 Basel II - short note 9.1
48 Basel II Norms - AMA 2.22
49 Basel III 1.7
50 Basel's Principles - Risk Culture 4.8
51 BCBS Principles for Sound Stress Testing in Banks 5.13
52 Benchmarking - Risk Assessment 2.12
53 Benefit of Risk Management Plan 3.10
54 Beta - Risk Measure for RAROC 6.28
55 BIA 2.24
56 Big Data - Business Analytics - RM Applications 9.34
57 Bill Discounting - Working Capital Loan type 6.6
58 Blythe Masters - JP Morgan - CDS inventor 6.21
59 Board of Directors responsibility - Governance Risk 7.3
60 Board of Directors responsibility - OECD Guidelines 7.22
61 Board's Responsibility 3.3
62 Bootstrap simulation - VaR 5.5
63 Borrower Specific Credit RM 6.13
64 Bow Tie Analysis - Risk Assessment 2.11
65 Brainstorm ideas to convert negative risk to positive 1.18
66 Brainstorming - Risk Identification 2.10
67 Business Analytics - RM Applications 9.34
68 Business Analytics - used in 9.35
69 Business Continuity - meaning 9.21
70 Business Continuity disruption causes 9.21
71 Business Continuity Plan - most challenging phase is FRP 9.23
72 Business Continuity Plan - chain of activities 9.25
73 Business Continuity Plan - Decision Making Committee task 9.25
74 Business Continuity Plan (BCP) 4.20
75 Business Continuity Plan (BCP) - key constituents 9.22
76 Business Continuity Plan (BCP) - main heading 9.21
77 Business Continuity Risk 1.21
78 Business Functions assessable from Risk Perspective 2.3
79 Business Impact - Parameters of Prioritisation 9.22
80 Business Impact Analysis (BIA) 2.24
81 Business Impact Analysis (BIA) - aspects to be covered 9.23
82 Business Impact Analysis (BIA) - short note 9.22
83 Business Model - Meaning + Integrated Report 4.12
84 Business Model Risk Factors 2.3
85 Business Operation disruption reason 4.18
86 Business Performance Indicators 4.5
87 Business Process critical disruption examples 9.22
88 Business Risk 1.2
90 Business Risk Classification 1.10
91 Business Risk Management (BRM) - Definition 8.1
92 Business Risk Measurement Tools 2.9
93 Call Tree - FRP 9.24
94 Capital Adequacy rules - Holding period for banks - VaR 5.4
95 Capital Budgeting - RM Technique 3.12
96 Carrier Team One - Case Study 3.13
97 Case Studies - RM 3.12
98 Cash Credit - Working Capital Loan type 6.6
99 Cash Flow Analysis 6.32
100 Cash Settlement - CDS 6.22
101 Catching the ball 1.18
102 Categories of Risk 1.11
103 Categorisation of Risk 1.16
104 Causal / Factor Analysis 2.10
105 Cause Analysis 2.10
106 Cause and Effect of Risk - Identification 2.13
107 CFA Institute on RM 3.2
108 Chain of Activities - Business Continuity Plan 9.25
109 Change Management - causes - Technology Risk 9.19/9.20
110 Change Management - Technology Risk 9.19
111 Checklists - Risk Identification 2.11
112 Chemical Accident 1.8
113 CIMA Official Terminology - RM Definition 8.2
114 Classification of Business Risk 1.10
115 Classification of Credit Assets as per RBI Norms 6.8
116 Classification of Loans - Retail and Wholesale 6.4
117 Classify Risks 1.12
118 Cluster Analysis / Clustering - Machine Learning 9.33
119 CNOOC International - Risk Culture example 4.8
120 Cognitive Psychology 1.4
121 Coherent Risk Measures 5.5
122 Coherent Risk Measures - Properties 5.5/5.6
123 Collateral - Basel II - Credit Risk Mitigation 6.10
124 Collateral / Security - Qualitative CRM 6.25
125 Collateral Risk - Credit Risk Component 6.3
126 Colour Coding - Qualitative Tools - Country Risk Assessment 5.16
127 Companies Act 2013 - Risk Management Disclosures 7.9
128 Comparison of Risk - Risk Score 1.13
129 Complexity 1.15
130 Compliance Risk 1.20
131 Compliance Risk Assessment exercise 2.4
132 Components of Credit Risk 6.2
133 Concentration Risk Management - banking 6.18
134 Conditional VaR - a Coherent Risk Measure 5.6
135 Confidence Level - VaR 5.2
136 Confidence of Management enhances with…. 4.5
137 Consideration of Risk - BOD Level 7.16
138 Constant Conjunction / Correlation 2.10
139 Contemporary Risk Reporting aspects 4.16
140 Contemporary RM Strategy 4.2
141 Content elements - Integrated Report 4.10
142 Control Culture of Organisation 3.5
143 Control Measures - decrease level of risk 2.25
144 Control Review - operational risk 9.4
145 Control risks 1.17
146 Control Score 1.11
147 Controllable Risk 1.10
148 Controls - definition - SA 315 9.3
149 Controls - Types - prevention of inherent risk 9.15
150 Controls - Understanding 9.15
151 Convergence of Audit and Operational Risk 9.5
152 Conversion of VaR 5.3
153 Core Competence of any firm - Managing Risk 3.2
154 Cornelius Keating 1.6
155 Corporate Governance - OECD Guidelines 7.20
156 Corporate Governance Code - UK 4.16
157 Corporate Knowledge - Risk Assessment 2.12
158 Corporate Risk 1.9
159 Corporate Risk Function 8.8
160 Corporate Risk Management 7.17
161 Corrective Measures - Disaster Recovery Plan 4.19
162 Correlation / Constant Conjunction 2.10
163 Corruption Perception index - Country Risk Analysis 5.17
164 COSO 1.11
165 COSO ERM Framework 8.3
166 Counterparty Risk or Credit Risk - Meaning 6.1
167 Country Risk 1.21
169 Country Risk Analysis - Various Indices 5.17
170 Country Risk Assessment Tools 5.16
171 Country Risk Management Process 5.16
172 Covenants - Credit Risk Mitigation method 6.12
173 Covenants - meaning - Qualitative CRM 6.25
174 Create Value 1.2
175 Credit - Meaning 6.1
176 Credit Default Swaps (CDS) - Indicators 6.22
177 Credit Default Swaps (CDS) - meaning 6.21
178 Credit Default Swaps (CDS) - Participants 6.22
179 Credit Default Swaps (CDS) - RBI Guidelines 6.22
180 Credit Default Swaps (CDS) - Settlement 6.22
181 Credit Default Swaps (CDS) Spread 6.22
182 Credit Default Swaps vs Credit Insurance 6.24
183 Credit Disability Insurance 6.24
184 Credit Due Diligence - Retail Financing 6.14
185 Credit Due Diligence + Aspects - Wholesale Financing 6.14
186 Credit Event Auction - CDS 6.21
187 Credit Events - RBI Guidelines on CDS 6.23
188 Credit Facilities - Types 6.4
189 Credit Insurance - Credit Risk Mitigation method 6.12
190 Credit Insurance - types 6.24
191 Credit Insurance vs CDS 6.24
192 Credit Life Insurance 6.24
193 Credit Loss Estimation 6.19
194 Credit Process Note 9.9
195 Credit Rating Agencies - examples 6.15
196 Credit Rating Outlook - meaning 6.17
197 Credit Rating Scale - Long Term Instruments 6.16
198 Credit Risk 1.19
199 Credit Risk - buyers' or borrowers' view 6.2
200 Credit Risk - Components 6.2
201 Credit Risk - Evaluation 6.8
202 Credit Risk - Identification 6.9
203 Credit Risk - Identification - Historical and New Approach 6.10
204 Credit Risk - Meaning 6.1
205 Credit Risk - Mitigation 6.9
206 Credit Risk analysis of Banks 6.2
207 Credit Risk Assessment - 6 Ground Rules 6.8
208 Credit Risk in Banking Transactions - Measurement 6.3
209 Credit Risk Management - Borrower/Transaction Specific 6.13
210 Credit Risk Management - Meaning 6.19
211 Credit Risk Management - Qualitative Techniques 6.12
212 Credit Risk Management - Qualitative Techniques - others 6.25
213 Credit Risk Management - Quantitative Techniques 6.26
214 Credit Risk Mitigation - Basel II 6.10
215 Credit Risk Mitigation - How? 6.10
216 Credit Risk Mitigation - Other Methods 6.12
217 Credit Risk of Bank - Factors affecting it 6.4
218 Credit Risk Quantification - 3 components 6.19
219 Credit Risk Rating / Credit Rating Process 6.18
220 Credit Risks of Banks and Fis - examples 6.9/6.10
221 Credit Score - Meaning 6.33
222 Credit Scoring Models - meaning 6.33
223 Credit Scoring Models - Types 6.34
224 Credit Scoring Models - usage 6.34
225 Credit Worthiness - factors affecting it 6.2
226 Criticality of Disaster Recovery Plan / Contingency Plan 4.19
227 Criticality of IT 4.18
228 CRO Committee responsibility - Governance Risk 7.4
229 Cross Organisational Processes - Case Study 3.13
230 Culture Monitoring Surveys 4.6
231 Current Ratio - Working Capital Analysis 6.33
232 Cyber Risk 1.8
233 Cyber Risk - meaning 9.25
234 Cyber Risk - mitigation - key aspects 9.27
235 Cyber Risk - Scenarios 9.26
236 Cyclical LGD 6.21
237 Data Security Risk 1.21
238 Decision Making Committee task in Business Continuity Plan 9.25
239 Decision Making Tree method 2.6
240 Decision Tree - Input 2.9
241 Decision Tree - Meaning 2.9
242 Deep Learning - Machine Learning 9.33
243 Default Definition - Bank for International Settlement (BIS) 6.20
244 Default Risk 1.19
245 Default Risk - Credit Risk Component 6.2
246 Definition of Risk - Business Dictionary 1.4
247 Definition of Risk - Cornelius Keating 1.6
248 Definition of Risk - ERM 1.4
249 Definition of Risk - Information Security 1.7
250 Definition of Risk - OHSAS 1.7
251 Definition of Risk - Oxford 1.3
252 Definition of Risk - SA 315 1.5
253 Definitions of Risk 1.5
254 Delphi Approach 2.7
255 Delta Normal method - VaR 5.2
257 Delta-Gamma Method - VaR - non-linear exposure 5.4
258 Demand Loan - Fund-Based Credit Facility 6.6
259 Democracy index - Country Risk Analysis 5.17
260 Department of Defence - Delphi Approach 2.7
261 Departmental Policies - ORM Policy 9.9
262 Detective Controls - Controls - Types - prevention of inherent risk 9.16
263 Detective Measures - Disaster Recovery Plan 4.19
264 Determinable Risk 1.10
265 Determining Risk Appetite 3.3
266 Direct Observations - Risk Assessment 2.12
267 Disaster - meaning 4.19+4.20
268 Disaster Recovery Co-ordinator 4.20
269 Disaster Recovery Plan 4.18
270 Disaster Recovery Plan - Criticality 4.19
271 Disaster Recovery Plan - Objective 4.19
272 Disaster Recovery Plan - Strategies 4.19
273 Disaster Recovery Plan - Tasks included 4.19
274 Disaster Recovery Testing 4.20
275 Disruption of Business Operations reason 4.18
276 Distributed Ledger Technology (DLT) 9.35
277 Diversification - Credit Risk Mitigation method 6.12
278 Documented Knowledge - Risk Assessment 2.13
279 Doubtful Assets - RBI classification 6.8
280 Douglas Hubbard 1.14
281 Downturn LGD 6.21
282 Due Diligence - Credit Retail Financing 6.14
283 Due Diligence + Aspects - Credit Wholesale Financing 6.14
284 Dynamic Risks 1.17
285 Early Default Alerts (EDA) - Portfolio RM 6.17
286 Early Warning Signals (EWS) - Portfolio RM 6.17
287 Eastman Kodak - Case Study 3.12
288 Economic and Financial Risk - Country Risk type 5.15
289 Economic Capital - RAROC 6.29
290 Economic Risk 1.7
291 Economic Variables to identify Sovereign Risk 5.15
292 Edward I Altman - Altman Z Score - Quantitative CRM 6.26
293 Effect and Frequency - Risk Classification by Open Group 1.12
294 Effective ORM Policy Framework 9.9
295 Effective Risk Management 2.26
296 Effective Risk Management Principles - OECD 2.33
297 Effectiveness of Internal Control 3.11
298 Emotional Intelligence 1.8
299 Empowering Board through RM Framework 3.10
300 Enterprise Resource Planning Package 2.29
301 Enterprise Resource Planning Package - ERM 8.8
302 Enterprise Risk includes all types of major risks encountered by an organisation -
303 Enterprise Risk Management 1.11
304 Enterprise Risk Management - Activities included 8.3
305 Enterprise Risk Management - Benefits + Value Creation 2.29
306 Enterprise Risk Management - Definition 8.1
307 Enterprise Risk Management - Definition by COSO 8.3
308 Enterprise Risk Management - How can it help organisations? 8.2
309 Enterprise Risk Management - Meaning 8.3
310 Enterprise Risk management - Stakeholder Value Creation 8.8
311 Enterprise Risk Management - Tool + Objective 4.1
312 Enterprise Risk Management + Internal Audit 8.8
313 Enterprise risk management + Internal Control 4.2
314 Enterprise Risk Management Policy 8.4
315 Enterprise Risk Management vs Internal Control vs IC Environment 4.6
316 Enterprise-wide Risk Management 2.4
317 Entity Level Policies - ORM Policy 9.9
318 Environmental Risk Assessment (ERA) 1.8
319 Epstein and Rejc - RM Payoff Model 2.29
320 Epstein and Rejc - RM Payoff Model - meaning + benefits 8.8
321 Equifax - Credit Scoring Model 6.36
322 ERM Process consists of Risk Identification, prioritisation and reporting, Risk M -
323 ERM - Stakeholder Value Creation 8.8
324 ERM - Subset - Internal Control 4.7
325 ERM + Internal Audit 8.8
326 ERM and internal Control - Difference 4.7
327 ERM Blocks and Activities - Existing Functions used to build on it 8.6
328 ERM Implementation 2.29
329 ERM Implementation - Gains 8.8
330 ERM Implementation - ISO 31000 Keys 8.4
331 ERM Policy 8.4
332 ERM vs IC vs ICE 4.6
333 Ethical Climate Surveys 4.6
334 EUC - End Use Computation tool 9.4
335 EU's Risk Disclosure Requirements 4.16
336 Evaluation of Credit Risk 6.8
337 Evaluation of Risk 2.26
338 Event Driven Rating - Qualitative Tools - Country Risk Assessment 5.17
339 Event-Based Scenario 5.11
340 Exception Triggers - Controls - Types - prevention of inherent risk 9.16
341 Exchange Control Risk - Country Risk type 5.15
342 Expected Loss - Credit Risk Measurement 6.19
343 Expected Monetary Value 2.8
344 Expected Shortfall - a Coherent Risk Measure 5.6
345 Expected Shortfall vs VaR 5.6
346 Expected Tail Loss - a Coherent Risk Measure 5.6
347 Experential Knowledge - Risk Assessment 2.12
348 Experian National Equivalency Score - Credit Scoring Model 6.36
349 Expert Systems - AI 9.35
350 Exposure at Default (EAD) - Credit Risk Quantification 6.20
351 Exposure Risk - Credit Risk Component 6.3
352 Expropriation or Nationalisation Risk - Country Risk type 5.15
353 External Fraud - Basel II - Operational Loss Data Management 9.29
354 External Risk 1.10
355 External Risk - context of operational risk 9.12
356 Extreme Risk facing Society 1.3
357 Factor / Causal Analysis 2.10
358 Factoring - Working Capital Loan type 6.6
359 Factors affecting Bank's Credit Risk 6.4
360 Failure of IT - reasons 4.19
361 FAKO Credit Score - Credit Scoring Model 6.36
362 Fault Tree Analysis - Risk Assessment 2.11
363 FDIs - Risks faced by them 5.15
364 FICO Score - Credit Scoring Model 6.34
365 FIIs - Risks faced by them 5.15
366 Financial and Economic Risk - Country Risk type 5.15
367 Financial Reporting Council 2010 3.4
368 Financial Reporting Risk - context of operational risk 9.11
369 Financial Reporting Risks 2.3
370 Financial Risk 1.7
372 Financial Risk - business function 2.3
373 Financial Risk - context of operational risk 9.11
374 Financial Risks 1.11
375 Financial Risks - Opportunity Risks 1.17
376 Financial Stability Board - Sound Risk Governance Practices 7.2
377 Financial Statement or Ratio Analysis 6.31
378 Fixed Income Money Market & Derivatives Association of India (FIMMDA) 6.23
379 Flow Charts - RM Technique 3.12
380 Flow-Charting 2.3
381 Forecastable Risk 1.10
382 Foreign Exchange Risk 1.20
383 Foreign Institutional Investors - Risks faced by them 5.15
384 Foreign Portfolio Investors - Risks faced by them 5.15
385 Foreign Direct Investment - Risks faced by them 5.15
386 FPIs - Risks faced by them 5.15
387 Fraud Risk 1.21
388 Fraud Risk - context of operational risk 9.11
389 Frequency / Probability - risk grading 9.14
390 Frequency of Loss 2.9
391 Frog in the Well 1.3
392 FTA Analysis - Risk Assessment 2.11
393 Full Revaluation Method - VaR 5.4
394 Function of Risk Capacity and RM Maturity 3.4
395 Functional Domains - Risk Classification 1.12
396 Functional Recovery Plan (FRP) 9.23
397 Functional Recovery Plan (FRP) - areas covered 9.24
398 Fundamental Risks 1.17
399 Fund-Based Facilities - type of Credit facility 6.5
400 Funded Credit Risk Mitigation - Basel II 6.10
401 Gap b/w Inherent Risk and Residual Risk 1.11
402 GAS-5 - Germany's Risk Reporting Standard 4.16
403 Germany's Risk Reporting Standard 4.16
404 Gini Coefficient - Country Risk Analysis 5.17
405 Global Peace index - Country Risk Analysis 5.18
406 Global Risk Indicators - Current 2.19
407 Governance - Integrated Report 4.12
408 Governance and RM 3.9
409 Governance Framework - Operational Risk 9.2
410 Governance Functions include 3.9
411 Governance Pillars - ERM, Internal Control 4.7
412 Governance Risk 1.21
413 Governance risk - evaluation 7.2
414 Governance risk - List as per Financial Stability Board 7.3
415 Governance risk - meaning + examples 7.1
416 Governance vs RM vs IC 4.6
417 Grade Based Rating - Qualitative Tools - Country Risk Assessment 5.17
418 GRC Management 1.18
419 Ground Rules to assess Credit Risk 6.8
420 Hadoop Clusters - Big Data architecture for AI 9.35
421 Hard Stop Limit 3.3/3.4
422 Hazard Risks 1.16
423 Heart of Risk Management 1.2
424 Hedgeable Risk 1.20
425 High Value Threats and Risk Analysed 2.17
426 Historical Simulation - VaR 5.5
427 Holding Period - VaR 5.2
428 Holding Period - VaR - factors determining it 5.4
429 Holistic RM Framework 3.10
430 Home or Mortgage Loan - Fund-Based Credit Facility 6.5
431 Homogeneity - Coherent Risk Measures 5.6
432 Hot Wash - Military Term - Case Study 3.15
433 Human Development index - Country Risk Analysis 5.18
434 IBM Case Study 2.32
435 ICAI Guidance Note - Operational Risk 9.3
436 ICAI Guidance Note - Risk Assessment Process 7.6
437 ICE Effectiveness 4.6
438 ICE Evaluation 4.6
439 ICE Meaning 4.5
440 ICT (Information and Communication Technology ) 4.18
441 Idea Funnel 1.18
442 Identification of Cause and Effect of risks 2.13
443 Identification of Credit Risk 6.9
444 Identification of Risks 2.2
445 Identify Risks - ways 2.3
446 IIRC - Vision 4.9
447 IIRC - what is it? 4.9
448 Impact / Severity - risk grading 9.14
449 Impact Assessment and Risk Probability 2.5
450 Impact of failure of IT 4.18
451 Impacts of Risk 2.23
452 Impersonal Risks 1.17
453 Importance of RM 3.9
454 Important Definitions of Risk 1.5
455 Incident Analysis - Risk Assessment 2.12
456 Information and Communication Technology (ICT) 4.18
457 Information Risk 1.21
458 Information Security Controls 9.25
459 Information Technology (IT) Risk Management 4.18
460 Information Technology General Controls (ITGC) 9.19
461 Infrastructure / Project Loan - Fund-Based Credit Facility 6.6
462 Inherent Risk 1.11
463 Inherent Risk - meaning - RCSA 9.10
464 Institute of RM 3.2
465 Insurable Risks 1.16
466 Insurable Risks with Condition 1.17
467 Insurance Alternatives 3.1
468 Insurance and RM Systems 3.10
469 Integrated Report - aim + purpose + content elements 4.10
470 Integrated Report element - Basis of Preparation 4.15
471 Integrated Report element - Outlook 4.15
472 Integrated Report element - Performance 4.14
473 Integrated Report element - Risk and Opportunities 4.13
474 Integrated Report element - Strategy and Resource Allocation 4.14
475 Integrated Reporting - International Federation of Accountants (IFAC) 7.13
476 Integrated Reporting Framework (IRF) 7.12
477 Integrated Risk Reporting 4.9
478 Integrating Risk and Performance 4.5
479 Integrating Risk in Strategic Planning Process 4.4
480 Integrity Leaders 4.9
481 Intellectual Property Risk - cyber risk 9.26
482 Interest Rate Risk 1.20
483 Internal Audit - connection b/w RM and Audit Methodology 9.4
484 Internal Audit - meaning 7.8
485 Internal Audit - responsibility in RM 7.8
486 Internal Audit - Third line of defence 9.8
487 Internal Audit + ERM 8.8
488 Internal Audit Based on Risk 1.2
489 Internal Control - defintion - SA 315 9.3
490 Internal Control - Effectiveness 3.11
491 Internal Control - Meaning 4.5
492 Internal Control - Task 4.7
493 Internal Control (IC) vs ERM vs ICE 4.6
494 Internal Control + Enterprise risk management 4.2
495 Internal Control Assurance Programs 4.5
496 Internal Control Environment (ICE) - meaning 4.5
497 Internal Control Environment + RM 4.5
498 Internal Control vs Governance vs RM 4.6
499 Internal Control vs RM 4.6
500 Internal Controls 1.11
501 Internal Credit Rating Model - Banks 6.19
502 Internal Financial Control - definition - Section 134 9.3
503 Internal Fraud - Basel II - Operational Loss Data Management 9.28
504 Internal Risk 1.10
505 International Federation of Accountants (IFAC) - Integrated Reporting 7.13
506 International Institute of Finance - Risk Culture 4.8
507 International Integrated Reporting Council (IIRC) 4.9
508 Inventory Days - Working Capital Analysis 6.33
509 IPE - Information Provided by Entity 9.4
510 IRF (Integrated Reporting Framework) Objectives 7.12
511 ISO 31000 - Keys to ERM Implementation 8.4
512 ISO 31000 - purpose - RM Disclosure 7.12
513 ISO 31000 - Risk management framework 8.3
514 ISO 31000 - RM Checklist 3.8
515 ISO 31000 - RM Process 3.6
516 ISO 31000 (cyber security) 9.5
517 ISO 31000 (Risk Management) 9.5
518 ISO 9000 (quality) 9.5
519 IT Failure reasons 4.19
520 IT Risk - Definition 1.5
522 IT Risk Management 4.18
523 Jensen Index or Alpha - Risk Measure for RAROC 6.28
524 JP Morgan - Blythe Masters - CDS inventor 6.21
525 JP Morgan - Case Study 3.12
526 Key Quantitative Information - Integrated Report 4.11
527 Key Risk Indicators 4.2
528 Key Risk Indicators + Scenario Analysis 9.21
529 Keys to ERM Implementation - ISO 31000 8.4
530 Knightian / Frank Knight 1.14
531 Knowledge Risk 1.12
532 Knowledge Risk - factors affecting it 2.3
533 Legal Risk 1.20
534 Legal Risk - context of operational risk 9.11
535 Lending Institution - System Failure 9.18
536 Letter of Credit - Non-Fund Based Credit Facility 6.7
537 Level of risk - formula 2.25
538 Levels of risk impact 2.23
539 LGD Model - Banks 6.19
540 Liability Risks 1.16
541 Limitations of Risk Measurement Systems 5.7
542 Limitations of VaR 5.7
543 Line of Business Policies - ORM Policy 9.9
544 Linear Exposure in case of Bonds position is duration 5.4
545 Linear Method - VaR 5.4
546 Lines of Defence - Operational Risk 9.7
547 Liquidity Risk 1.19
548 Listing Agreement - Operational Risk 9.3
549 Logistic Regression - PD Estimation 6.20
550 Long-Run LGD 6.21
551 Loss Assets - RBI classification 6.8
552 Loss Given Default (LGD) - Credit Risk 6.18
553 Loss Given Default (LGD) - Credit Risk Quantification 6.19
554 Loss Given Default (LGD) - meaninig, estimation, components 6.21
555 Loss Given Default (LGD) - Variations 6.21
556 Machine Learning 9.33
557 Machine Learning - examples 9.33
558 Machine Learning - methods 9.33
559 Machine Learning - techniques 9.33
560 Magnitude of Risk 1.2
561 Major Impact - Inherent Risk - RCSA 9.10
562 Management Decisions for Risk 1.2
563 Management Discussion and Analysis section - SeBI LODR 7.11
564 Management Discussions and Analysis - Annual Report 4.16
565 Management Discussions and Analysis - SEBI LODR 4.17
566 Management Risk 1.20
567 Managing Risk 2.29
568 Managing Risk - Core Competence of any firm 3.2
569 Managing Risk - most important aspect of RM 3.2
570 Manual Controls - Controls - Types - prevention of inherent risk 9.16
571 Manufacturing Company - System Failure 9.18
572 Manufacturing Process Manual 9.9
573 Market Risk 1.20
574 Matrix - Generic Risk Sources 2.16
575 Matrix - Risk Analysis example 2.25
576 Maximum Permissble Banking Finance - meaning & methods 6.5
577 MD&A - Annual Report section 4.16
578 Meaning of Risk 1.2
579 Measures to be quantified for Credit RM 6.19
580 Mendes 2001 - Case Study 3.12
581 Merton Model - Quantitative CRM for Banks / Fis 6.27
582 Methods for Business Risk Measurement 2.9
583 Micro finance Loan - Fund-Based Credit Facility 6.7
584 Migration Risk - Technology Risk 9.20
585 Minor Impact - Inherent Risk - RCSA 9.10
586 Mitigating Credit Risk 6.9
587 Mitigation of Risk 1.12
588 Model Risks 1.18
589 Modern Portfolio Theory - RM Concept 3.2
590 Monotonicity - Coherent Risk Measures 5.6
591 Monte Carlo Analysis 2.9
592 Monte Carlo Simulation - VaR 5.5
593 Mortgage or Home Loan - Fund-Based Credit Facility 6.5
594 Most Common Risks 1.21
595 Most Important Aspect of RM - managing risk 3.2
596 MPBF - meaning and methods 6.5
597 Multi-Dimensional Impact of Risk 2.23
598 Naked CDS 6.21
599 NASDAQ - Financial Risk 1.7
600 Nationalisation or Expropriation Risk - Country Risk type 5.15
601 Naval Sea Systems Command (NAVSEA) - Case study 3.13
602 Near-Default Stress Scenario 5.12
603 Negative Risks 1.18
604 New York Times - Case Study 3.12
605 Non Sampling Risk 7.9
606 Non-Diversifiable Risk 1.20
607 Non-Eliminable Risk 1.20
608 Non-Fund Based Facilities - type of Credit facility 6.7
609 Non-Linear Exposure - VaR - Delta-Gamma Method 5.4
610 Non-Performing Assets - RBI classification 6.8
611 Normal Stress Scenario 5.11
612 Numeral Coding - Qualitative Tools - Country Risk Assessment 5.16
613 Objective of Risk Management 3.5
614 OECD - Principles of Effective RM 2.33
615 OECD Guidelines - BOD Responsibilities 7.22
616 OECD Guidelines for Corporate Governance 7.20
617 On Balance Sheet Netting - Basel II - Credit Risk Mitigation 6.10
618 Open Group 1.12
619 Operational Failure - Risk Types 9.11
620 Operational Loss - Booking 9.31
621 Operational Loss - Corrective Action 9.32
622 Operational Loss - Identification Triggers 9.31
623 Operational Loss - Quantification 9.31
624 Operational Loss - Reporting 9.32
625 Operational Loss Data Management 9.28
626 Operational Risk - business function 2.3
627 Operational Risk - meaning 9.1
628 Operational Risk - Relevance 9.2
629 Operational Risk - risks linked to it 9.2
630 Operational Risk - why does it originate? 9.2
631 Operational Risk Department - second line of defence 9.7
632 Operational Risk event - most common 9.18
633 Operational Risk Management (ORM) 9.2
634 Operational Risk Management (ORM) - Banks 9.5
635 Operational Risk Management Committee - functions 9.5
636 Operational Risk Management Committee - short-note 9.6
637 Operational Risk Management Framework - constituents 9.6
638 Operational Risk Management Framework - Effective policy 9.9
639 Operational Risk Management Policy 9.5
640 Operational Risk Management Policy - areas to be addressed 9.5
641 Operational Risks 1.11
644 Opportunity Risks 1.17
645 Organisational Risks 2.19
646 Outsourcing - Risk Mitigation 2.22
647 Outsourcing Risk - aspects 9.25
648 Overdraft - Working Capital Loan type 6.5
649 Packing Credit - Working Capital Loan type 6.6
650 Parameters of Prioritisation - Business Impact 9.22
651 Parameters of VaR 5.4
652 Participants in Risk Identification 2.2
653 Particular Risks 1.17
654 Paul Hopkins - Categorisation of Risk 1.16
655 Payable Days - Working Capital Analysis 6.33
656 Performance + Risk 4.5
657 Performance Measures that utilise Economic Capital 6.29
658 Personal Loan - Fund-Based Credit Facility 6.5
659 Personal Risks 1.16
660 Pervasive Risk 1.17
661 PESTLE Analysis 2.20
662 Phishing Risk - cyber risk 9.26
663 Physical Control - Controls - Types - prevention of inherent risk 9.15
664 Physical Settlement - CDS 6.22
665 Pillars of Governance - RM, Internal Control 4.7
666 PLUS Score - Credit Scoring Model 6.35
667 Point-in-Time LGD 6.21
668 Political Risk - Country Risk type 5.15
669 Political Risk Insurance 6.24
670 Pooling Method - PD Estimation 6.20
671 Portfolio Risk Management 6.17
672 Portfolio RM - Indicative Parameters 6.17
673 Portfolio-based Scenario 5.11
674 Positive risk 1.2
675 Post Shipment Packing Credit - Working Capital Loan type 6.6
676 Pre Shipment Packing Credit - Working Capital Loan type 6.6
677 Predictable (Less) Risks 1.17
678 Predictive Models 2.10
679 Prevention of Improper Payment Standard - Case Example 4.8
680 Preventive Controls - Controls - Types - prevention of inherent risk 9.16
681 Preventive Measures - Disaster Recovery Plan 4.19
682 Price Risk 1.21
683 Principles for Sound Stress Testing in Banks 5.13
684 Principles of Effective Risk Management - OECD 2.33
685 Probability / Frequency - risk grading 9.14
686 Probability and Impact Matrix 2.5
687 Probability of Default (PD) - Credit Risk 6.18
688 Probability of Default (PD) - Credit Risk Quantification 6.19
689 Probability of Default (PD) - Estimation 6.20
690 Process Notes 9.9
691 Process Risk 1.21
692 Project / Infrastructure Loan - Fund-Based Credit Facility 6.6
693 Project Management Risks - Control Risk 1.17
694 Property Risks 1.16
695 Pure Risks 1.16
696 Purpose of Risk Identification / Analysis / Quantification 2.9
697 Qualitative Risk Assessment 2.5
698 Qualitative Techniques 2.8
699 Qualitative Techniques - Credit Risk Management 6.12
700 Qualitative Tools for Country Risk Assessment 5.16
701 Quantitative Risk Assessment 2.6
702 Quantitative Techniques 2.8
703 Quantitative Tools for Country Risk Assessment 5.17
704 Quick Ratio - Working Capital Analysis 6.33
705 Quick Risk Response ensured by 4.7
706 R Squared - Risk Measure for RAROC 6.28
707 Rand Corporation - Delphi Approach 2.7
708 Random Loss - Credit Risk - Formula 6.3
709 RAROC - Reason for Capital Allocation 6.30
710 Rating Outlook - meaning 6.17
711 Ratio Analysis 6.31
712 RBI Guidelines on CDS 6.22
713 RCSA - Constituents 9.10
714 RCSA - definition 9.10
715 Real Estate Construction Loan - Fund-Based Credit Facility 6.7
716 Real-Time Risk 1.7
717 Reasons for IT Failure 4.19
718 Reconciliation - Controls - Types - prevention of inherent risk 9.15
719 Recovery Plan - Near default Stress Scenario 5.12
720 Recovery Risk - Credit Risk Component 6.3
721 Regression Methods - Machine Learning 9.33
722 Regulatory Risk 1.20
723 Regulatory Risk - context of operational risk 9.11
724 Reinforcement Learning - Machine Learning 9.33
725 Relevance of Operational Risk 9.2
726 Reliability Centered Maintenance 1.9
727 Reporting on Risk - ISO 31000 3.9
728 Reputation RISK 1.20
729 Reputation Risk - context of operational risk 9.11
730 Residual Risk 1.11
731 Residual Risk - in context of operational risk 9.14
732 Resource Allocation - Integrated Report 4.14
733 Resource Allocation Plans 4.5
734 Responsibility of Board 3.3
735 Responsibility of Risk Management Committee 2.31
736 Retail Financing 6.4
737 Retail Financing - Credit Due Diligence 6.14
738 Retail Financing - Portfolio RM - Indicative Parameters 6.17
739 Return on Risk Adjusted Capital (RORAC) - RAROC - Quantitative CRM 6.29
740 Reverse Brainstorming - Risk Assessment 2.11
741 Reverse Stress Test Scenarios 5.12
742 Review of Control - Operational risk 9.4
743 Risco 1.1
744 Risicare 1.1
745 Risk - Concept and Meaning 3.1
746 Risk & Control Self Assessment (RCSA) - Constituents 9.10
747 Risk & Control Self Assessment (RCSA) - definition 9.10
748 Risk & Opportunity Reporting 4.15
749 Risk + Performance 4.5
750 Risk Adjusted Return on Capital (RAROC) - meaning and formula 6.30
751 Risk Analysis - most widely used approach - Qualitative 2.8
752 Risk Analysis - RM Process 3.7
753 Risk Analysis Matrix example 2.25
754 Risk and Control Matrix - definition 9.10
755 Risk and Opportunity Disclosures - Indian example 7.14
756 Risk and Opportunity Reporting (ROR) - IRF 7.13
757 Risk and Uncertainty 8.1
758 Risk Appetite 1.13
759 Risk Appetite - Concept 3.3
760 Risk Appetite - Internal Auditor Role 8.4
761 Risk Appetite - Meaning 8.3
762 Risk Appetite - Principles 3.4
763 Risk Appetite Framework (RAF) 7.5
764 Risk Appetite Statement (RAS) 7.5
765 Risk Appetitie higher than Risk Capacity - Aggressive Board 8.4
766 Risk Architecture - ISO 31000 3.8
767 Risk Assessment - Meaning 2.4
768 Risk Assessment - Types 2.13
769 Risk Assessment +Financial Reporting - Role 7.7
770 Risk Assessment following Risk Identification 2.20
771 Risk Assessment Procedures 1.6
772 Risk Assessment Process - ICAI Guidance Note 7.6
773 Risk Assessment Process w.r.t Financial Reporting 7.6
774 Risk Attitude - Concept 3.3
775 Risk Attribute 1.13
776 Risk Avoidance - element of Risk Treatment 3.11
777 Risk Aware - Risk Maturity level 8.7
778 Risk Aware Organisation - Silo Approach 8.7
779 Risk Based Audit Methodologies 7.8
780 Risk Based Auditing - meaning 9.8
781 Risk Based Internal Audit 1.2
782 Risk Based Internal Auditing - Short Note 7.8
783 Risk based Maintenance 1.9
784 Risk Capacity vs Risk Appetite 3.3
785 Risk Categories 1.11
786 Risk Classification - basis of Impact 2.24
787 Risk Committee responsibility - Governance Risk 7.3
788 Risk Comparison - Risk Score 1.13
789 Risk Components - for Credit Risk Quantification 6.19
790 Risk Consequence 1.13
791 Risk Control - RM Process 3.7
792 Risk Control / Mitigation - element of Risk Treatment 3.11
793 Risk Control Self-Assessment (RCSA) - short note 9.17
794 Risk Cube - Case Study - Career Team One 3.14
795 Risk Culture 4.7
796 Risk Culture - Created 4.8
797 Risk Defined - Risk Maturity level 8.7
798 Risk deliberately taken for Gain - Speculative 1.17
799 Risk derived from 1.1
800 Risk Disclosure Requirements - led by US' 1990s crisis 4.16
801 Risk Enabled - Risk Maturity level 8.7
802 Risk Enabled Organisation's RM Techniques 3.12
803 Risk Evaluation 2.26
804 Risk Evaluation - Primary Questions 2.14
805 Risk Evaluation - Purpose 2.13/2.14
806 Risk Event Maps - RM Technique 3.12
807 Risk Event Probability 2.8
808 Risk Event Value 2.8
809 Risk Exposure Segmentation - Stress Testing 5.10
810 Risk Factors 4.2
811 Risk Financing - element of Risk Treatment 3.11
812 Risk Focus Integrity - Case Example 4.8
813 Risk Free Condition - Coherent Risk Measures 5.6
814 Risk Governance Framework 7.6
815 Risk Grading - illustrative example 9.12
816 Risk Heat Maps - RM Technique 3.12
817 Risk Identification 2.1
818 Risk Identification - Most Effective technique - Root Cause Analysis 2.19
819 Risk Identification - Objective 2.4
820 Risk Identification - RM Process 3.6
821 Risk Identification - Sources 2.15
822 Risk Identification - Techniques 2.10
823 Risk Identification / Analysis / Quantification - Purpose 2.9
824 Risk Identification and Assessment Approaches by Tony Harb B 2.10
825 Risk Impact Analysis 2.24
826 Risk Impacts 2.23
827 Risk Indicators - Global 2.19
828 Risk Indicators - Monitor 4.3
829 Risk Leader 1.1
830 Risk Leader - who? 2.29
831 Risk Leaders take calculative risk 3.1
832 Risk Level - Formula 2.25
833 Risk Magnitude 1.2
834 Risk Magnitude - RM Process 3.7
835 Risk Managed - Risk Maturity level 8.7
836 Risk Management 1.3
838 Risk Management - Effective 2.26
839 Risk Management - Importance 3.9
840 Risk Management - Most Important Aspect - managing risk 3.2
841 Risk Management - Objectives 3.5
842 Risk Management - Various Definitions 8.1/8.2
843 Risk Management + Internal Control Environment 4.5
844 Risk Management and Governance 3.9
845 Risk Management Capability 3.4
846 Risk Management Case Studies 3.12
847 Risk Management Checklist - ISO 31000 3.8
848 Risk Management Committee 2.29
849 Risk Management Committee - SEBI LODR 4.17
850 Risk Management Component - Internal Control 4.7
851 Risk Management Concept 3.1
852 Risk Management concept - Art of using past lessons 3.2
853 Risk Management concept - Continuous and Developing Process 3.2
854 Risk Management Cycle 3.5
855 Risk Management Disclosures - Companies Act 2013 7.9
856 Risk Management Disclosures - Global Case Study 7.13
857 Risk Management Disclosures - Global Scenario 7.12
858 Risk Management Disclosures - Indian Scenario 7.9
859 Risk Management Disclosures - SEBI LODR 7.10
860 Risk Management Disclosures - what do they lack? 4.9
861 Risk Management Framework 3.5
862 Risk Management Framework - Implement ERM Policy 8.4
863 Risk Management Framework - meaning + matters to be defined 7.6
864 Risk Management Framework - points to be considered by BOD 7.18
865 Risk Management Function 7.5
866 Risk Management Maturity + Risk Capacity = RM Capability 3.4
867 Risk Management Payoff Model 2.29
868 Risk Management Payoff Model - meaning + benefits 8.8
869 Risk Management Plan - Benefits 3.10
870 Risk Management Process 2.1
871 Risk Management Process - Step by Step 3.6
872 Risk Management Standard - Institute of RM 3.2
873 Risk Management Strategies 4.1/4.2
874 Risk Management Techniques 3.11
875 Risk Management Various Concepts 3.2
876 Risk Management vs Governance vs IC 4.6
877 Risk Management vs Internal Control 4.6
878 Risk Management Working Group - Case Study 3.13
879 Risk Manager 2.30
880 Risk Maturity + audit strategy 8.7
881 Risk Maturity Levels - Aspects and Key Characteristics 8.7
882 Risk Maturity of an Organisation 8.6
883 Risk Measurement 1.13
884 Risk Measurement - Meaning 2.4
885 Risk Measurement Systems - Limitations 5.7
886 Risk Measures for RAROC 6.28
887 Risk Mitigation 2.4
888 Risk Mitigation - Meaning 2.10
889 Risk Mitigation activities aimed at 2.20
890 Risk Mitigation Measures / Techniques 2.21
891 Risk Mitigation Strategy 2.20
892 Risk Monitoring - RM Process 3.7
893 Risk Monitoring practices 4.3
894 Risk Naïve - Risk Maturity level 8.7
895 Risk Outcomes 1.3
896 Risk Perception 1.4
897 Risk Perspective 2.3
898 Risk Probability and Impact Assessment 2.5
899 Risk Profile - bucketing 9.14
900 Risk Protocols - ISO 31000 3.8
901 Risk Quantification 2.5
903 Risk Quantification - Outputs 2.10
904 Risk Quantification - Tools and Techniques 2.7
905 Risk Questionnare 2.1
906 Risk Questionnare - RM Technique 3.12
907 Risk Ranking 3.7
908 Risk Rating - illustrative example 9.12
909 Risk Rating Table example 2.26
910 Risk Register 2.1
911 Risk Register - Meaning 8.4
912 Risk Report - ISO 31000 3.9
913 Risk Reporting 4.9
914 Risk Reporting - Contemporary Aspects 4.16
915 Risk Reporting is standardised because….. 4.9
916 Risk Reporting Standard - Germany - GAS 5 4.16
917 Risk Response Planning - RM Process 3.7
918 Risk Responses - Categories 2.21
919 Risk Score 1.13
920 Risk Scorecard 2.10
921 Risk Scorecards - RM Technique 3.12
922 Risk Strategy - ISO 31000 3.8
923 Risk Tolerance - Concept 3.3
924 Risk Transfer - element of Risk Treatment 3.11
925 Risk Treatment - Meaning 3.11
926 Risk Treatment - RM Process 3.7
927 Risk Treatment Objective 2.21
928 Risk Treatment Options 2.20
929 Risk Types - caused by Operational Failures 9.11
930 Risk Variables 2.2
931 Risk-Adjusted Return on Capital (RAROC) - Quantitative CRM 6.28
932 Risk-Based Pricing - Credit Risk Mitigation method 6.12
933 Risks associated with Project Management - Control Risk 1.17
934 Risks can arise or change due to following circumstances 7.7
935 Risks create opportunities 1.2
936 Risks faced by Society 1.3
937 Risque 1.1
938 Role of Risk Management function - IBM Case Study 2.32
939 Role of Risk Manager and Risk Committee 2.30
940 Role of Stress Testing 5.8
941 Root Cause Analysis 2.19
942 RORAC - Quantitative CRM - RAROC 6.29
943 SA 315 - Operational Risk 9.3
944 SA 315 - Significant Risk 1.4
945 Safety Risk 1.21
946 Sampling and Audit Risk 7.9
947 Sampling Plan 2.10
948 Sampling Risk 7.9
949 Sampling with Replacement - Bootstrap Simulation - VaR 5.5
950 Sarbanes Oxley (SOX) 9.4
951 Scanning the Business Environment Book 2.20
952 Scenario - Meaning 5.11
953 Scenario Analysis 2.9
954 Scenario Analysis - Drawbacks and Limitations 5.12
955 Scenario Analysis - Meaning / Risk Identification 2.11
956 Scenario Analysis - Risk Model 5.11
957 Scenario Analysis + Key Risk Indicators 9.21
958 Scenario Categories 5.11
959 Scenario Selection 5.12
960 Schedule IV Companies Act - Operational Risk 9.3
961 Schedule Simulation 2.9
962 Scorecards - Alternate name for Credit Scoring Models 6.34
963 Scoring Approach 2.8
964 SeBI LODR - Management Discussion and Analysis section 7.11
965 SEBI LODR - Risk Management Disclosures 7.10
966 SEBI LODR Regulations - Risk Disclosure requirements 4.17
967 Section 134 - Operational Risk 9.2/9.3
968 Section 177 - Operational Risk 9.3
969 Securitisation - Qualitative CRM 6.26
970 Security Risk 1.8
972 Segregation of Duties - Controls - Types - prevention of inherent risk 9.15
973 Sell Down - Qualitative CRM 6.26
974 Service Level Agreements (SLAs) - Risk Mitigation 2.22
975 Sever Stress Scenario 5.11
976 Severity / Impact - risk grading 9.14
977 Sharpe Ratio - Risk Measure for RAROC 6.28
978 Significant Risk 1.4
979 Silo Approach - Risk Aware Organisation 8.7
980 Simulated Model 2.10
981 Simulation 2.9
982 Smart Risk Management Strategies 4.2
983 SMAs - RBI 6.18
984 Software Code vs Machine Learning 9.33
985 Sound Management of Operational Risk - Risk Culture 4.8
986 Sound Risk Culture 4.8
987 Sound Risk Governance Practices - Financial Stability Board 7.2
988 Sources of Risk Identification 2.15
989 Sovereign Risk - Country Risk type 5.15
990 Spark Clusters - Big Data architecture for AI 9.35
991 Special Disaster Recovery testing 4.20
992 Special Mention Accounts - RBI 6.18
993 Speculative Risks 1.17
994 Staffing Risk 1.21
995 Stakeholder Analysis - Risk Assessment 2.12
996 Stakeholder Responsibilities + Risk Reporting 4.9
997 Stakeholder Risk Analysis 2.28
998 Stakeholder Risk Management 8.8
999 Stakeholder Value Creation by ERM 8.8
1000 Stakeholders - Categories 2.27
1001 Stakeholders - Categories - Impact of Risk on them 2.28
1002 Standard Assets - RBI classification 6.8
1003 Standard Operating Procedures (SOP) 9.9
1004 Static Risks 1.17
1005 Statistical Method - PD Estimation 6.20
1006 Statutory Risk 1.20
1007 STEEPLE Analysis 2.20
1008 Stipulation of Covenants - Credit RM Technique 6.25
1009 STPS Analysis 2.20
1010 Strait Jacketed existing risk disclosures 4.9
1011 Strategic Context 4.1/4.2
1012 Strategic Planning Process 4.4
1013 Strategic Risk - business function 2.3
1014 Strategic Risk Impact 4.4
1015 Strategic Risks 1.11
1018 Strategies of Disaster Recovery Plan 4.19
1019 Stress Scenario Categories 5.11
1020 Stress Testing 5.7
1021 Stress Testing - Applications / Uses 5.8
1022 Stress Testing - Process 5.10
1023 Stress Testing - Role / Reasons 5.8
1024 Stress Testing uses / application by Banks 5.9
1025 Stress Testing uses / application summary 5.9
1026 Stress to Default scenarios 5.12
1027 Structural Method - PD Estimation 6.20
1028 Structured Interview - Risk Assessment 2.11
1029 Structuring of Transactions - examples 6.25
1030 Sub Standard Assets - RBI classification 6.8
1031 Subadditivity - Coherent Risk Measures 5.6
1032 Subadditivity - VaR Limitation - proper meaning 5.7
1033 Sub-Set of ERM - Internal Control 4.7
1034 Supervised Learning - Machine Learning 9.33
1035 Supervisory Control - Controls - Types - prevention of inherent risk 9.16
1036 Supervisory Review Process - Basel II - Stress Testing 5.14
1037 Surveys - ICE 4.6
1038 Surveys - Risk Assessment 2.12
1039 Survival and Sustained Growth - Key Element 3.10
1040 Sustainable Success 1.3
1041 SWOT Analysis 2.2
1043 SWOT Analysis - Example 2.15
1044 Syndicated Loan - Qualitative CRM 6.26
1045 System Failure - Technology Risk 9.18
1046 Systematic Risk 1.20
1047 Systematic Risk - Risk of being in business 2.22
1048 Tail VaR - a Coherent Risk Measure 5.6
1049 Tandon Committee - MPBF 6.5
1050 Task of Internal Control 4.7
1051 Tasks included in DRP 4.19
1052 Taxes Rules and Regulation Risk - Country Risk type 5.15
1053 Technology Outsourcing Risk - Technology Risk 9.20
1054 Technology Risk 1.21
1055 Technology Risk - main issues 9.17/9.18
1056 Term Loan - Fund-Based Credit Facility 6.6
1057 Terminate - RM Technique 3.11
1058 Testing of Disaster Recovery 4.20
1059 Theodore Roosevelt on RM 3.2
1060 Theory of Coherent Risk Measures 5.5/5.6
1061 Third Party Guarantee Risk - Credit Risk Component 6.3
1062 Thomas S Coleman on RM 3.2
1063 Threat Assessment - Mumbai Example 2.17
1064 Through-the-cycle LGD 6.21
1065 Tightening - Credit Risk Mitigation method 6.12
1066 Tolerate - RM Technique 3.11
1067 Tony Harb B 2.10
1068 Tools and Techniques of Risk Quantification 2.7
1069 Tools for Business Risk Measurement 2.9
1070 Top Event - Risk Assessment 2.11
1071 Trade-Off between credit risk and return 6.2
1072 Traffic Signal Risk Card 2.5
1073 Transaction-specific Credit RM 6.13
1074 Transfer - RM Technique 3.11
1075 Treat - RM Technique 3.11
1076 Two Way risk - Credit Risk from borrowers' POV 6.2
1077 Types of Collateral / Security 6.25
1078 Types of Credit Facilities 6.4
1079 Types of Pure Risk 1.16
1080 Types of Risk Assessments 2.13
1081 Types of Risks 1.18
1082 UK Corporate Governance Code 3.4
1083 UK's Corporate Governance Code 4.16
1084 Uncertainty 1.15
1085 Uncertainty Risks 1.17
1086 Uncertainty and Risk 8.1
1087 Uncertainty vs Risk 1.14
1088 Uncontrollable Risk 1.10
1089 Unexpected Loss - Credit Risk Measurement 6.19
1090 Unfunded Credit Risk Mitigation - Basel II 6.11
1091 Unilever - RM Case Example 4.4
1092 Uninsurable Risk 1.17
1093 Unscheduled System Downtime - Technology Risk 9.17/9.18
1094 Unsupervised Learning - Machine Learning 9.33
1095 User Access Control - Technology Risk 9.19
1096 Value at Risk - Calculation 5.2
1097 Value at Risk - meaning and denotion 5.1
1098 Value at Risk - RM Technique 3.12
1099 Value at Risk (VaR) - RAROC 6.30
1100 Value at Risk Measure 2.10
1101 Value Creation 1.2
1102 Value Creation - How? 2.26
1103 Value Creation ability - Integrated Report 4.12
1104 Value Creation by ERM 8.8
1105 Vantage Score - Credit Scoring Model 6.35
1106 VaR - Calculation 5.2
1107 VaR - Formula 5.3
1108 VaR - meaning and denotion 5.1
1109 VaR Conversions 5.3
1110 VaR Limitations 5.7
1111 VaR Methods 5.4
1112 VaR Parameters 5.4
1113 VaR vs Expected Shortfall 5.6
1114 Variables to identify Sovereign Risk 5.15
1115 Verification - Controls - Types - prevention of inherent risk 9.15
1116 Vision System - AI 9.35
1117 Vital Component of Risk Management 1.8
1118 Volatility 1.15
1119 VUCA 1.15
1120 Warren Busset on Risk 3.2
1121 Webster New World Law Dictionary - RM Definition 8.2
1122 What-If Technique - Risk Assessment 2.11
1123 Wholesale Financing 6.4
1124 Wholesale Financing - Credit Due Diligence + Aspects 6.14
1125 Wholesale Financing - Portfolio RM - Indicative Parameters 6.17
1126 WIFT - Risk Assessment 2.11
1127 Working Capital Analysis 6.32
1128 Working Capital Loan - Fund-Based Credit Facility 6.5
1129 Working Capital Loan - types 6.5
1130 Working Groups - Risk Assessment 2.12
1131 Workshops - Risk Assessment 2.12
1132 World Economic Forum (WEF) - Global Outlook 2.18
1133 write-off - Meaning in context of banks 6.8
1134 Z Score - Formula - Quantitative CRM 6.27
1135 Z Score - Quantitative CRM 6.26
RISK MANAGEMENT INDEX - ICAI STUDY MAT
S No Topic Page No
1 Risco 1.1
2 Risicare 1.1
3 Risque 1.1
4 Risk derived from 1.1
5 Risk Leader 1.1
6 Positive risk 1.2
7 Risks create opportunities 1.2
8 Magnitude of Risk 1.2
9 Risk Magnitude 1.2
10 Heart of Risk Management 1.2
11 Risk Based Internal Audit 1.2
12 Internal Audit Based on Risk 1.2
13 Meaning of Risk 1.2
15 Value Creation 1.2
16 Create Value 1.2
17 Management Decisions for Risk 1.2
19 Sustainable Success 1.3
20 Absense of Risk Management 1.3
21 Frog in the Well 1.3
22 Extreme Risk facing Society 1.3
23 Risks faced by Society 1.3
24 Risk Outcomes 1.3
25 Risk Perception 1.4
26 Cognitive Psychology 1.4
27 Definition of Risk - Oxford 1.3
28 Definition of Risk - Business Dictionary 1.4
29 Definition of Risk - ERM 1.4
31 SA 315 - Significant Risk 1.4
32 Significant Risk 1.4
33 Definition of Risk - SA 315 1.5
34 Important Definitions of Risk 1.5
35 Definitions of Risk 1.5
36 Audit Risk - Definition 1.5
38 Risk Assessment Procedures 1.6
39 Definition of Risk - Cornelius Keating 1.6
40 Cornelius Keating 1.6
42 NASDAQ - Financial Risk 1.7
43 Additional Risk 1.7
44 Real-Time Risk 1.7
45 Basel III 1.7
46 Bank Stability 1.7
47 Definition of Risk - OHSAS 1.7
48 Definition of Risk - Information Security 1.7
49 Economic Risk 1.7
50 Chemical Accident 1.8
51 Environmental Risk Assessment (ERA) 1.8
53 Cyber Risk 1.8
55 Vital Component of Risk Management 1.8
56 Emotional Intelligence 1.8
57 Risk based Maintenance 1.9
58 Reliability Centered Maintenance 1.9
59 Corporate Risk 1.9
60 Classification of Business Risk 1.10
61 Business Risk Classification 1.10
62 Internal Risk 1.10
63 External Risk 1.10
64 Controllable Risk 1.10
65 Determinable Risk 1.10
66 Uncontrollable Risk 1.10
67 Forecastable Risk 1.10
68 Risk Categories 1.11
69 Categories of Risk 1.11
70 COSO 1.11
71 Inherent Risk 1.11
72 Residual Risk 1.11
73 Internal Controls 1.11
74 Control Score 1.11
75 Gap b/w Inherent Risk and Residual Risk 1.11
78 Financial Risks 1.11
79 Enterprise Risk Management 1.11
80 Mitigation of Risk 1.12
81 Knowledge Risk 1.12
82 Classify Risks 1.12
83 Functional Domains - Risk Classification 1.12
84 Open Group 1.12
85 Effect and Frequency - Risk Classification by Open Group 1.12
86 Risk Attribute 1.13
87 Risk Measurement 1.13
88 Risk Score 1.13
89 Comparison of Risk - Risk Score 1.13
90 Risk Comparison - Risk Score 1.13
91 Risk Consequence 1.13
92 Risk Appetite 1.13
93 Knightian / Frank Knight 1.14
94 Uncertainty vs Risk 1.14
95 Douglas Hubbard 1.14
96 Complexity 1.15
97 Volatility 1.15
98 Ambiguity 1.15
99 Uncertainty 1.15
100 VUCA 1.15
101 Categorisation of Risk 1.16
102 Paul Hopkins - Categorisation of Risk 1.16
103 Hazard Risks 1.16
104 Pure Risks 1.16
106 Insurable Risks 1.16
107 Types of Pure Risk 1.16
108 Personal Risks 1.16
109 Property Risks 1.16
110 Liability Risks 1.16
111 Fundamental Risks 1.17
112 Impersonal Risks 1.17
113 Pervasive Risk 1.17
114 Uninsurable Risk 1.17
115 Insurable Risks with Condition 1.17
116 Particular Risks 1.17
117 Dynamic Risks 1.17
118 Predictable (Less) Risks 1.17
119 Control risks 1.17
120 Uncertainty Risks 1.17
121 Opportunity Risks 1.17
122 Speculative Risks 1.17
123 Risks associated with Project Management - Control Risk 1.17
124 Project Management Risks - Control Risk 1.17
125 Financial Risks - Opportunity Risks 1.17
126 Risk deliberately taken for Gain - Speculative 1.17
127 Static Risks 1.17
128 Negative Risks 1.18
129 Brainstorm ideas to convert negative risk to positive 1.18
130 Idea Funnel 1.18
131 Catching the ball 1.18
133 GRC Management 1.18
134 Model Risks 1.18
136 Types of Risks 1.18
138 Credit Risk 1.19
139 Default Risk 1.19
140 Liquidity Risk 1.19
141 Non-Eliminable Risk 1.20
142 Systematic Risk 1.20
143 Hedgeable Risk 1.20
144 Market Risk 1.20
145 Non-Diversifiable Risk 1.20
148 Compliance Risk 1.20
149 Regulatory Risk 1.20
150 Reputation RISK 1.20
151 Legal Risk 1.20
152 Statutory Risk 1.20
153 Interest Rate Risk 1.20
154 Foreign Exchange Risk 1.20
155 Management Risk 1.20
156 Staffing Risk 1.21
157 Technology Risk 1.21
158 Information Risk 1.21
159 Data Security Risk 1.21
160 Business Continuity Risk 1.21
162 Fraud Risk 1.21
163 Price Risk 1.21
164 Process Risk 1.21
166 Governance Risk 1.21
167 Safety Risk 1.21
168 Most Common Risks 1.21
169 Risk Identification 2.1
170 Risk Management Process 2.1
171 Risk Questionnare 2.1
172 Risk Register 2.1
173 Participants in Risk Identification 2.2
174 Identification of Risks 2.2
175 Risk Variables 2.2
177 Financial Reporting Risks 2.3
178 Identify Risks - ways 2.3
179 Flow-Charting 2.3
180 Business Functions assessable from Risk Perspective 2.3
181 Risk Perspective 2.3
182 Business Model Risk Factors 2.3
183 Knowledge Risk - factors affecting it 2.3
184 Compliance Risk Assessment exercise 2.4
185 Financial Risk - business function 2.3
186 Strategic Risk - business function 2.3
187 Operational Risk - business function 2.3
189 Enterprise-wide Risk Management 2.4
190 Risk Identification - Objective 2.4
191 Risk Assessment - Meaning 2.4
192 Risk Mitigation 2.4
193 Risk Measurement - Meaning 2.4
195 Qualitative Risk Assessment 2.5
196 Risk Probability and Impact Assessment 2.5
197 Impact Assessment and Risk Probability 2.5
198 Probability and Impact Matrix 2.5
199 Assessment of Risk 2.5
200 Traffic Signal Risk Card 2.5
201 Quantitative Risk Assessment 2.6
202 Decision Making Tree method 2.6
204 Risk Quantification - Tools and Techniques 2.7
205 Tools and Techniques of Risk Quantification 2.7
206 Delphi Approach 2.7
207 Rand Corporation - Delphi Approach 2.7
208 Department of Defence - Delphi Approach 2.7
209 Risk Analysis - most widely used approach - Qualitative 2.8
210 Scoring Approach 2.8
211 Quantitative Techniques 2.8
212 Qualitative Techniques 2.8
213 Expected Monetary Value 2.8
214 Risk Event Probability 2.8
215 Risk Event Value 2.8
216 Decision Tree - Input 2.9
217 Decision Tree - Meaning 2.9
218 Simulation 2.9
219 Monte Carlo Analysis 2.9
220 Schedule Simulation 2.9
221 Frequency of Loss 2.9
222 Scenario Analysis 2.9
223 Business Risk Measurement Tools 2.9
224 Tools for Business Risk Measurement 2.9
225 Methods for Business Risk Measurement 2.9
226 Purpose of Risk Identification / Analysis / Quantification 2.9
227 Risk Identification / Analysis / Quantification - Purpose 2.9
228 Risk Mitigation - Meaning 2.10
229 Factor / Causal Analysis 2.10
230 Causal / Factor Analysis 2.10
231 Constant Conjunction / Correlation 2.10
232 Correlation / Constant Conjunction 2.10
233 Predictive Models 2.10
234 Cause Analysis 2.10
235 Risk Quantification - Outputs 2.10
236 Risk Scorecard 2.10
237 Value at Risk Measure 2.10
238 Sampling Plan 2.10
239 Simulated Model 2.10
240 Risk Identification and Assessment Approaches by Tony Harb B 2.10
241 Tony Harb B 2.10
242 Risk Identification - Techniques 2.10
243 Brainstorming - Risk Identification 2.10
244 Structured Interview - Risk Assessment 2.11
245 Checklists - Risk Identification 2.11
246 What-If Technique - Risk Assessment 2.11
247 WIFT - Risk Assessment 2.11
248 Scenario Analysis - Meaning / Risk Identification 2.11
249 Fault Tree Analysis - Risk Assessment 2.11
250 FTA Analysis - Risk Assessment 2.11
251 Reverse Brainstorming - Risk Assessment 2.11
252 Top Event - Risk Assessment 2.11
253 Bow Tie Analysis - Risk Assessment 2.11
254 Direct Observations - Risk Assessment 2.12
255 Incident Analysis - Risk Assessment 2.12
256 Surveys - Risk Assessment 2.12
257 Workshops - Risk Assessment 2.12
258 Benchmarking - Risk Assessment 2.12
259 Stakeholder Analysis - Risk Assessment 2.12
260 Working Groups - Risk Assessment 2.12
261 Corporate Knowledge - Risk Assessment 2.12
262 Experential Knowledge - Risk Assessment 2.12
263 Documented Knowledge - Risk Assessment 2.13
264 Types of Risk Assessments 2.13
265 Risk Assessment - Types 2.13
266 Cause and Effect of Risk - Identification 2.13
267 Identification of Cause and Effect of risks 2.13
268 Risk Evaluation - Purpose 2.13/2.14
269 Risk Evaluation - Primary Questions 2.14
270 Risk Identification - Sources 2.15
271 Sources of Risk Identification 2.15
272 SWOT Analysis - Example 2.15
273 Matrix - Generic Risk Sources 2.16
274 Threat Assessment - Mumbai Example 2.17
275 High Value Threats and Risk Analysed 2.17
276 World Economic Forum (WEF) - Global Outlook 2.18
277 Global Risk Indicators - Current 2.19
278 Risk Indicators - Global 2.19
279 Organisational Risks 2.19
280 Risk Identification - Most Effective technique - Root Cause Analysis 2.19
281 Root Cause Analysis 2.19
282 Risk Assessment following Risk Identification 2.20
283 Risk Mitigation activities aimed at 2.20
284 PESTLE Analysis 2.20
285 STEEPLE Analysis 2.20
286 STPS Analysis 2.20
287 Amanda Dcosta 2.20
288 Aguilar's Scanning the Business Environment Book 2.20
289 Scanning the Business Environment Book 2.20
290 Analyse business and environment factors - PESTLE+SWOT 2.20
291 Risk Treatment Options 2.20
292 Risk Mitigation Strategy 2.20
293 Risk Treatment Objective 2.21
294 Risk Responses - Categories 2.21
295 Risk Mitigation Measures / Techniques 2.21
296 Advanced Management Approach (AMA) - Basel II 2.22
297 Basel II Norms - AMA 2.22
298 Outsourcing - Risk Mitigation 2.22
299 Service Level Agreements (SLAs) - Risk Mitigation 2.22
300 Systematic Risk - Risk of being in business 2.22
301 Multi-Dimensional Impact of Risk 2.23
302 Risk Impacts 2.23
303 Impacts of Risk 2.23
304 Levels of risk impact 2.23
305 Risk Classification - basis of Impact 2.24
306 Business Impact Analysis (BIA) 2.24
307 BIA 2.24
308 Risk Impact Analysis 2.24
309 Analysing the Level of Risk 2.25
310 Level of risk - formula 2.25
311 Risk Level - Formula 2.25
312 Control Measures - decrease level of risk 2.25
313 Risk Analysis Matrix example 2.25
314 Matrix - Risk Analysis example 2.25
315 Risk Rating Table example 2.26
316 Evaluation of Risk 2.26
317 Risk Evaluation 2.26
318 Risk Management - Effective 2.26
319 Effective Risk Management 2.26
320 Value Creation - How? 2.26
321 Stakeholders - Categories 2.27
322 Stakeholders - Categories - Impact of Risk on them 2.28
323 Stakeholder Risk Analysis 2.28
324 Enterprise Risk Management - Benefits + Value Creation 2.29
325 ERM Implementation 2.29
326 Enterprise Resource Planning Package 2.29
327 Risk Management Payoff Model 2.29
328 Epstein and Rejc - RM Payoff Model 2.29
329 Role of Risk Manager and Risk Committee 2.30
330 Responsibility of Risk Management Committee 2.31
331 Risk Manager 2.30
332 Risk Management Committee 2.29
333 Managing Risk 2.29
334 Risk Leader - who? 2.29
335 Role of Risk Management function - IBM Case Study 2.32
336 IBM Case Study 2.32
337 Principles of Effective Risk Management - OECD 2.33
338 OECD - Principles of Effective RM 2.33
339 Effective Risk Management Principles - OECD 2.33
340 Risk Management Concept 3.1
341 Insurance Alternatives 3.1
342 Risk - Concept and Meaning 3.1
343 Risk Leaders take calculative risk 3.1
344 Risk Management Various Concepts 3.2
345 Warren Busset on Risk 3.2
346 Theodore Roosevelt on RM 3.2
347 Risk Management Standard - Institute of RM 3.2
348 Institute of RM 3.2
349 Thomas S Coleman on RM 3.2
350 CFA Institute on RM 3.2
351 Risk Management concept - Continuous and Developing Process 3.2
352 Risk Management concept - Art of using past lessons 3.2
353 Risk Management - Most Important Aspect - managing risk 3.2
354 Most Important Aspect of RM - managing risk 3.2
355 Managing Risk - most important aspect of RM 3.2
356 Modern Portfolio Theory - RM Concept 3.2
357 Core Competence of any firm - Managing Risk 3.2
358 Managing Risk - Core Competence of any firm 3.2
359 Risk Attitude - Concept 3.3
360 Risk Appetite - Concept 3.3
361 Risk Tolerance - Concept 3.3
362 Determining Risk Appetite 3.3
363 Board's Responsibility 3.3
364 Responsibility of Board 3.3
365 Risk Capacity vs Risk Appetite 3.3
366 Hard Stop Limit 3.3/3.4
367 UK Corporate Governance Code 3.4
368 Financial Reporting Council 2010 3.4
369 Risk Appetite - Principles 3.4
370 Risk Management Capability 3.4
371 Function of Risk Capacity and RM Maturity 3.4
372 Risk Management Maturity + Risk Capacity = RM Capability 3.4
373 Control Culture of Organisation 3.5
374 Risk Management Framework 3.5
375 Objective of Risk Management 3.5
376 Risk Management - Objectives 3.5
377 Risk Management Cycle 3.5
378 Risk Management Process - Step by Step 3.6
379 ISO 31000 - RM Process 3.6
380 Risk Identification - RM Process 3.6
381 Risk Analysis - RM Process 3.7
382 Risk Ranking - RM Process 3.7
383 Risk Control - RM Process 3.7
384 Risk Treatment - RM Process 3.7
385 Risk Monitoring - RM Process 3.7
386 Risk Magnitude - RM Process 3.7
387 Risk Response Planning - RM Process 3.7
388 Risk Management Checklist - ISO 31000 3.8
389 ISO 31000 - RM Checklist 3.8
390 Risk Architecture - ISO 31000 3.8
391 Risk Strategy - ISO 31000 3.8
392 Risk Protocols - ISO 31000 3.8
393 Reporting on Risk - ISO 31000 3.9
394 Risk Report - ISO 31000 3.9
395 Importance of RM 3.9
396 Risk Management - Importance 3.9
397 Governance Functions include 3.9
398 Risk Management and Governance 3.9
399 Governance and RM 3.9
400 Benefit of Risk Management Plan 3.10
401 Risk Management Plan - Benefits 3.10
402 Survival and Sustained Growth - Key Element 3.10
403 Holistic RM Framework 3.10
404 Empowering Board through RM Framework 3.10
405 Insurance and RM Systems 3.10
406 Risk Management Techniques 3.11
407 Risk Treatment - Meaning 3.11
408 Risk Control / Mitigation - element of Risk Treatment 3.11
409 Risk Avoidance - element of Risk Treatment 3.11
410 Risk Transfer - element of Risk Treatment 3.11
411 Risk Financing - element of Risk Treatment 3.11
412 Internal Control - Effectiveness 3.11
413 Effectiveness of Internal Control 3.11
414 Tolerate - RM Technique 3.11
415 Transfer - RM Technique 3.11
416 Terminate - RM Technique 3.11
417 Treat - RM Technique 3.11
418 Risk Enabled Organisation's RM Techniques 3.12
419 Risk Management Case Studies 3.12
420 Risk Questionnare - RM Technique 3.12
421 Flow Charts - RM Technique 3.12
422 Risk Event Maps - RM Technique 3.12
423 Risk Scorecards - RM Technique 3.12
424 Capital Budgeting - RM Technique 3.12
425 Value at Risk - RM Technique 3.12
426 Risk Heat Maps - RM Technique 3.12
427 Case Studies - RM 3.12
428 Eastman Kodak - Case Study 3.12
429 JP Morgan - Case Study 3.12
430 Mendes 2001 - Case Study 3.12
431 New York Times - Case Study 3.12
432 Barclays - Case Study 3.13
433 Risk Management Working Group - Case Study 3.13
434 Cross Organisational Processes - Case Study 3.13
435 Carrier Team One - Case Study 3.13
436 Naval Sea Systems Command (NAVSEA) - Case study 3.13
437 Availabilities - Case Study 3.13
438 Risk Cube - Case Study - Career Team One 3.14
439 Hot Wash - Military Term - Case Study 3.15
440 Enterprise Risk Management - Tool + Objective 4.1
441 Enterprise risk management + Internal Control 4.2
442 Internal Control + Enterprise risk management 4.2
443 Strategic Context 4.1/4.2
444 Smart Risk Management Strategies 4.2
445 Risk Management Strategies 4.1/4.2
446 Contemporary RM Strategy 4.2
447 Key Risk Indicators 4.2
448 Risk Factors 4.2
449 Alignment of Risk with Strategy 4.2
450 Risk Monitoring practices 4.3
451 Risk Indicators - Monitor 4.3
452 Unilever - RM Case Example 4.4
453 Integrating Risk in Strategic Planning Process 4.4
454 Strategic Planning Process 4.4
455 Strategic Risk Impact 4.4
456 Resource Allocation Plans 4.5
457 Risk + Performance 4.5
458 Performance + Risk 4.5
459 Integrating Risk and Performance 4.5
460 Confidence of Management enhances with…. 4.5
461 Internal Control Assurance Programs 4.5
462 Business Performance Indicators 4.5
463 Internal Control Environment + RM 4.5
464 Risk Management + Internal Control Environment 4.5
465 Internal Control - Meaning 4.5
466 Internal Control Environment (ICE) - meaning 4.5
467 ICE Meaning 4.5
468 ICE Effectiveness 4.6
469 Ethical Climate Surveys 4.6
470 Culture Monitoring Surveys 4.6
471 Surveys - ICE 4.6
472 Enterprise Risk Management vs Internal Control vs IC Environment 4.6
473 ERM vs IC vs ICE 4.6
474 Internal Control (IC) vs ERM vs ICE 4.6
475 Risk Management vs Internal Control 4.6
476 Internal Control vs RM 4.6
477 Governance vs RM vs IC 4.6
478 Risk Management vs Governance vs IC 4.6
479 Internal Control vs Governance vs RM 4.6
480 ICE Evaluation 4.6
481 Pillars of Governance - RM, Internal Control 4.7
482 Governance Pillars - ERM, Internal Control 4.7
483 Sub-Set of ERM - Internal Control 4.7
484 ERM - Subset - Internal Control 4.7
485 Internal Control - Task 4.7
486 Task of Internal Control 4.7
487 Risk Management Component - Internal Control 4.7
488 ERM and internal Control - Difference 4.7
489 Risk Culture 4.7
490 Quick Risk Response ensured by 4.7
491 Basel's Principles - Risk Culture 4.8
492 Sound Management of Operational Risk - Risk Culture 4.8
493 Risk Culture - Created 4.8
494 International Institute of Finance - Risk Culture 4.8
495 Sound Risk Culture 4.8
496 Risk Focus Integrity - Case Example 4.8
497 CNOOC International - Risk Culture example 4.8
498 Prevention of Improper Payment Standard - Case Example 4.8
499 Integrity Leaders 4.9
500 Integrated Risk Reporting 4.9
501 Risk Reporting 4.9
502 Stakeholder Responsibilities + Risk Reporting 4.9
503 Risk Management Disclosures - what do they lack? 4.9
504 Strait Jacketed existing risk disclosures 4.9
505 Risk Reporting is standardised because….. 4.9
506 International Integrated Reporting Council (IIRC) 4.9
507 IIRC - what is it? 4.9
508 IIRC - Vision 4.9
509 Integrated Report - aim + purpose + content elements 4.10
510 Content elements - Integrated Report 4.10
511 Key Quantitative Information - Integrated Report 4.11
512 Governance - Integrated Report 4.12
513 Value Creation ability - Integrated Report 4.12
514 Business Model - Meaning + Integrated Report 4.12
515 Integrated Report element - Risk and Opportunities 4.13
516 Integrated Report element - Outlook 4.15
517 Integrated Report element - Basis of Preparation 4.15
518 Integrated Report element - Performance 4.14
519 Integrated Report element - Strategy and Resource Allocation 4.14
520 Resource Allocation - Integrated Report 4.14
521 Risk & Opportunity Reporting 4.15
522 Risk Reporting Standard - Germany - GAS 5 4.16
523 Germany's Risk Reporting Standard 4.16
524 GAS-5 - Germany's Risk Reporting Standard 4.16
525 UK's Corporate Governance Code 4.16
526 Corporate Governance Code - UK 4.16
527 Management Discussions and Analysis - Annual Report 4.16
528 MD&A - Annual Report section 4.16
529 Risk Disclosure Requirements - led by US' 1990s crisis 4.16
530 EU's Risk Disclosure Requirements 4.16
531 Risk Reporting - Contemporary Aspects 4.16
532 Contemporary Risk Reporting aspects 4.16
533 SEBI LODR Regulations - Risk Disclosure requirements 4.17
534 Risk Management Committee - SEBI LODR 4.17
535 Management Discussions and Analysis - SEBI LODR 4.17
536 IT Risk Management 4.18
537 Disaster Recovery Plan 4.18
538 Information Technology (IT) Risk Management 4.18
539 Information and Communication Technology (ICT) 4.18
540 ICT (Information and Communication Technology ) 4.18
541 Criticality of IT 4.18
542 Impact of failure of IT 4.18
543 Business Operation disruption reason 4.18
544 Disruption of Business Operations reason 4.18
545 IT Failure reasons 4.19
546 Reasons for IT Failure 4.19
547 Failure of IT - reasons 4.19
548 Criticality of Disaster Recovery Plan / Contingency Plan 4.19
549 Disaster Recovery Plan - Objective 4.19
550 Disaster Recovery Plan - Criticality 4.19
551 Disaster - meaning 4.19+4.20
552 Disaster Recovery Plan - Tasks included 4.19
553 Tasks included in DRP 4.19
554 Strategies of Disaster Recovery Plan 4.19
555 Disaster Recovery Plan - Strategies 4.19
556 Preventive Measures - Disaster Recovery Plan 4.19
557 Corrective Measures - Disaster Recovery Plan 4.19
558 Detective Measures - Disaster Recovery Plan 4.19
559 Business Continuity Plan (BCP) 4.20
560 Disaster Recovery Co-ordinator 4.20
561 Disaster Recovery Testing 4.20
562 Testing of Disaster Recovery 4.20
563 Special Disaster Recovery testing 4.20
564 Value at Risk - meaning and denotion 5.1
565 VaR - meaning and denotion 5.1
566 VaR - Calculation 5.2
567 Value at Risk - Calculation 5.2
569 Holding Period - VaR 5.2
570 Confidence Level - VaR 5.2
571 VaR - Formula 5.3
572 VaR Conversions 5.3
573 Conversion of VaR 5.3
574 VaR Parameters 5.4
575 Parameters of VaR 5.4
576 Capital Adequacy rules - Holding period for banks - VaR 5.4
577 VaR Methods 5.4
578 Holding Period - VaR - factors determining it 5.4
580 Linear Method - VaR 5.4
581 Linear Exposure in case of Bonds position is duration 5.4
582 Delta-Gamma Method - VaR - non-linear exposure 5.4
583 Non-Linear Exposure - VaR - Delta-Gamma Method 5.4
584 Full Revaluation Method - VaR 5.4
585 Historical Simulation - VaR 5.5
586 Bootstrap simulation - VaR 5.5
587 Monte Carlo Simulation - VaR 5.5
588 Sampling with Replacement - Bootstrap Simulation - VaR 5.5
589 Coherent Risk Measures 5.5
590 Theory of Coherent Risk Measures 5.5/5.6
591 Subadditivity - Coherent Risk Measures 5.6
592 Homogeneity - Coherent Risk Measures 5.6
593 Monotonicity - Coherent Risk Measures 5.6
594 Risk Free Condition - Coherent Risk Measures 5.6
595 Coherent Risk Measures - Properties 5.5/5.6
596 Expected Shortfall - a Coherent Risk Measure 5.6
597 Expected Tail Loss - a Coherent Risk Measure 5.6
598 Conditional VaR - a Coherent Risk Measure 5.6
599 Tail VaR - a Coherent Risk Measure 5.6
600 Expected Shortfall vs VaR 5.6
601 VaR vs Expected Shortfall 5.6
602 Limitations of VaR 5.7
603 VaR Limitations 5.7
604 Risk Measurement Systems - Limitations 5.7
605 Limitations of Risk Measurement Systems 5.7
606 Subadditivity - VaR Limitation - proper meaning 5.7
607 Stress Testing 5.7
608 Role of Stress Testing 5.8
609 Stress Testing - Role / Reasons 5.8
610 Stress Testing - Applications / Uses 5.8
611 Applications of Stress Testing 5.8
612 Stress Testing uses / application summary 5.9
613 Stress Testing uses / application by Banks 5.9
614 Stress Testing - Process 5.10
615 Risk Exposure Segmentation - Stress Testing 5.10
616 Scenario Analysis - Risk Model 5.11
617 Scenario - Meaning 5.11
618 Event-Based Scenario 5.11
619 Portfolio-based Scenario 5.11
620 Scenario Categories 5.11
621 Stress Scenario Categories 5.11
622 Normal Stress Scenario 5.11
623 Sever Stress Scenario 5.11
624 Near-Default Stress Scenario 5.12
625 Recovery Plan - Near default Stress Scenario 5.12
626 Stress to Default scenarios 5.12
627 Reverse Stress Test Scenarios 5.12
628 Scenario Selection 5.12
629 Scenario Analysis - Drawbacks and Limitations 5.12
630 Basel Committee on Banking Supervision (BCBS) - Stress Testing 5.13
631 Principles for Sound Stress Testing in Banks 5.13
632 BCBS Principles for Sound Stress Testing in Banks 5.13
633 Basel II - Pillar 2 - Stress Testing 5.14
634 Supervisory Review Process - Basel II - Stress Testing 5.14
636 Political Risk - Country Risk type 5.15
637 Foreign Institutional Investors - Risks faced by them 5.15
638 Foreign Portfolio Investors - Risks faced by them 5.15
639 Foreign Direct Investment - Risks faced by them 5.15
640 FIIs - Risks faced by them 5.15
641 FPIs - Risks faced by them 5.15
642 FDIs - Risks faced by them 5.15
637 Financial and Economic Risk - Country Risk type 5.15
638 Economic and Financial Risk - Country Risk type 5.15
639 Sovereign Risk - Country Risk type 5.15
640 Nationalisation or Expropriation Risk - Country Risk type 5.15
641 Expropriation or Nationalisation Risk - Country Risk type 5.15
642 Exchange Control Risk - Country Risk type 5.15
643 Taxes Rules and Regulation Risk - Country Risk type 5.15
644 Variables to identify Sovereign Risk 5.15
645 Economic Variables to identify Sovereign Risk 5.15
646 Country Risk Management Process 5.16
647 Country Risk Assessment Tools 5.16
648 Qualitative Tools for Country Risk Assessment 5.16
649 Numeral Coding - Qualitative Tools - Country Risk Assessment 5.16
650 Colour Coding - Qualitative Tools - Country Risk Assessment 5.16
651 Grade Based Rating - Qualitative Tools - Country Risk Assessment 5.17
652 Event Driven Rating - Qualitative Tools - Country Risk Assessment 5.17
653 Quantitative Tools for Country Risk Assessment 5.17
654 Country Risk Analysis - Various Indices 5.17
655 Corruption Perception index - Country Risk Analysis 5.17
656 Democracy index - Country Risk Analysis 5.17
657 Gini Coefficient - Country Risk Analysis 5.17
658 Global Peace index - Country Risk Analysis 5.18
659 Human Development index - Country Risk Analysis 5.18
660 Credit - Meaning 6.1
661 Credit Risk - Meaning 6.1
662 Counterparty Risk or Credit Risk - Meaning 6.1
663 Credit Risk - buyers' or borrowers' view 6.2
664 Two Way risk - Credit Risk from borrowers' POV 6.2
665 Trade-Off between credit risk and return 6.2
666 Credit Risk analysis of Banks 6.2
667 Credit Risk - Components 6.2
668 Components of Credit Risk 6.2
669 Default Risk - Credit Risk Component 6.2
670 Credit Worthiness - factors affecting it 6.2
671 Exposure Risk - Credit Risk Component 6.3
672 Recovery Risk - Credit Risk Component 6.3
673 Collateral Risk - Credit Risk Component 6.3
674 Third Party Guarantee Risk - Credit Risk Component 6.3
675 Credit Risk in Banking Transactions - Measurement 6.3
676 Banking Transactions - Credit Risk Measurement 6.3
677 Random Loss - Credit Risk - Formula 6.3
678 Factors affecting Bank's Credit Risk 6.4
679 Bank Credit Risk - factors affecting it 6.4
680 Credit Risk of Bank - Factors affecting it 6.4
681 Credit Facilities - Types 6.4
682 Types of Credit Facilities 6.4
683 Classification of Loans - Retail and Wholesale 6.4
684 Retail Financing 6.4
685 Wholesale Financing 6.4
686 Fund-Based Facilities - type of Credit facility 6.5
687 Personal Loan - Fund-Based Credit Facility 6.5
688 Mortgage or Home Loan - Fund-Based Credit Facility 6.5
689 Home or Mortgage Loan - Fund-Based Credit Facility 6.5
690 Working Capital Loan - Fund-Based Credit Facility 6.5
691 Working Capital Loan - types 6.5
692 Overdraft - Working Capital Loan type 6.5
693 Maximum Permissble Banking Finance - meaning & methods 6.5
694 MPBF - meaning and methods 6.5
695 Tandon Committee - MPBF 6.5
696 Cash Credit - Working Capital Loan type 6.6
697 Bill Discounting - Working Capital Loan type 6.6
698 Packing Credit - Working Capital Loan type 6.6
699 Pre Shipment Packing Credit - Working Capital Loan type 6.6
700 Post Shipment Packing Credit - Working Capital Loan type 6.6
701 Factoring - Working Capital Loan type 6.6
702 Demand Loan - Fund-Based Credit Facility 6.6
703 Term Loan - Fund-Based Credit Facility 6.6
704 Project / Infrastructure Loan - Fund-Based Credit Facility 6.6
705 Infrastructure / Project Loan - Fund-Based Credit Facility 6.6
706 Micro finance Loan - Fund-Based Credit Facility 6.7
707 Real Estate Construction Loan - Fund-Based Credit Facility 6.7
708 Agriculture Loan - Fund-Based Credit Facility 6.7
709 Non-Fund Based Facilities - type of Credit facility 6.7
710 Bank Guarantee - Non-Fund Based Credit Facility 6.7
711 Letter of Credit - Non-Fund Based Credit Facility 6.7
712 Classification of Credit Assets as per RBI Norms 6.8
713 Standard Assets - RBI classification 6.8
714 Sub Standard Assets - RBI classification 6.8
715 Doubtful Assets - RBI classification 6.8
716 Loss Assets - RBI classification 6.8
717 Non-Performing Assets - RBI classification 6.8
718 write-off - Meaning in context of banks 6.8
719 Credit Risk - Evaluation 6.8
720 Evaluation of Credit Risk 6.8
721 Ground Rules to assess Credit Risk 6.8
722 Credit Risk Assessment - 6 Ground Rules 6.8
723 Credit Risk - Mitigation 6.9
724 Mitigating Credit Risk 6.9
725 Credit Risk - Identification 6.9
726 Identification of Credit Risk 6.9
727 Credit Risks of Banks and Fis - examples 6.9/6.10
728 Credit Risk - Identification - Historical and New Approach 6.10
729 Credit Risk Mitigation - How? 6.10
730 Basel II - Credit Risk Mitigation 6.10
731 Credit Risk Mitigation - Basel II 6.10
732 On Balance Sheet Netting - Basel II - Credit Risk Mitigation 6.10
733 Collateral - Basel II - Credit Risk Mitigation 6.10
734 Funded Credit Risk Mitigation - Basel II 6.10
735 Unfunded Credit Risk Mitigation - Basel II 6.11
736 Basel II - Credit Risk - Short Note 6.11
737 Credit Risk Mitigation - Other Methods 6.12
738 Risk-Based Pricing - Credit Risk Mitigation method 6.12
739 Credit Insurance - Credit Risk Mitigation method 6.12
740 Tightening - Credit Risk Mitigation method 6.12
741 Diversification - Credit Risk Mitigation method 6.12
742 Covenants - Credit Risk Mitigation method 6.12
743 Credit Risk Management - Qualitative Techniques 6.12
744 Qualitative Techniques - Credit Risk Management 6.12
745 Credit Risk Management - Borrower/Transaction Specific 6.13
746 5 C's of Credit - Borrower Credit Risk Mgmt 6.13
747 Borrower Specific Credit RM 6.13
748 Transaction-specific Credit RM 6.13
749 Credit Due Diligence - Retail Financing 6.14
750 Credit Due Diligence + Aspects - Wholesale Financing 6.14
751 Due Diligence + Aspects - Credit Wholesale Financing 6.14
752 Due Diligence - Credit Retail Financing 6.14
753 Retail Financing - Credit Due Diligence 6.14
754 Wholesale Financing - Credit Due Diligence + Aspects 6.14
755 Aspects of Credit Due Diligence in Wholesale financing 6.14
756 Credit Rating Agencies - examples 6.15
757 Credit Rating Scale - Long Term Instruments 6.16
758 Credit Rating Outlook - meaning 6.17
759 Rating Outlook - meaning 6.17
760 Portfolio Risk Management 6.17
761 Early Warning Signals (EWS) - Portfolio RM 6.17
762 Portfolio RM - Indicative Parameters 6.17
763 Retail Financing - Portfolio RM - Indicative Parameters 6.17
764 Wholesale Financing - Portfolio RM - Indicative Parameters 6.17
765 Early Default Alerts (EDA) - Portfolio RM 6.17
766 Special Mention Accounts - RBI 6.18
767 SMAs - RBI 6.18
768 Concentration Risk Management - banking 6.18
769 Credit Risk Rating / Credit Rating Process 6.18
770 Probability of Default (PD) - Credit Risk 6.18
771 Loss Given Default (LGD) - Credit Risk 6.18
772 Internal Credit Rating Model - Banks 6.19
773 LGD Model - Banks 6.19
774 Credit Loss Estimation 6.19
775 Credit Risk Management - Meaning 6.19
776 Measures to be quantified for Credit RM 6.19
777 Expected Loss - Credit Risk Measurement 6.19
778 Unexpected Loss - Credit Risk Measurement 6.19
779 Risk Components - for Credit Risk Quantification 6.19
780 Credit Risk Quantification - 3 components 6.19
781 Probability of Default (PD) - Credit Risk Quantification 6.19
782 Loss Given Default (LGD) - Credit Risk Quantification 6.19
783 Exposure at Default (EAD) - Credit Risk Quantification 6.20
784 Default Definition - Bank for International Settlement (BIS) 6.20
785 Bank for International Settlement (BIS) - Default defintion 6.20
786 Probability of Default (PD) - Estimation 6.20
787 Pooling Method - PD Estimation 6.20
788 Statistical Method - PD Estimation 6.20
789 Structural Method - PD Estimation 6.20
790 Logistic Regression - PD Estimation 6.20
791 Loss Given Default (LGD) - meaninig, estimation, components 6.21
792 Loss Given Default (LGD) - Variations 6.21
793 Cyclical LGD 6.21
794 Point-in-Time LGD 6.21
795 Long-Run LGD 6.21
796 Through-the-cycle LGD 6.21
797 Downturn LGD 6.21
798 Credit Default Swaps (CDS) - meaning 6.21
799 Naked CDS 6.21
800 Credit Event Auction - CDS 6.21
801 Blythe Masters - JP Morgan - CDS inventor 6.21
802 JP Morgan - Blythe Masters - CDS inventor 6.21
803 Credit Default Swaps (CDS) - Settlement 6.22
804 Physical Settlement - CDS 6.22
805 Cash Settlement - CDS 6.22
806 Credit Default Swaps (CDS) Spread 6.22
807 Credit Default Swaps (CDS) - Indicators 6.22
808 RBI Guidelines on CDS 6.22
809 Credit Default Swaps (CDS) - RBI Guidelines 6.22
810 Credit Default Swaps (CDS) - Participants 6.22
811 Credit Events - RBI Guidelines on CDS 6.23
812 Fixed Income Money Market & Derivatives Association of India (FIMMDA) 6.23
813 Credit Insurance - types 6.24
814 Credit Life Insurance 6.24
815 Credit Disability Insurance 6.24
816 Political Risk Insurance 6.24
817 Credit Insurance vs CDS 6.24
818 Credit Default Swaps vs Credit Insurance 6.24
819 Credit Risk Management - Qualitative Techniques - others 6.25
820 Stipulation of Covenants - Credit RM Technique 6.25
821 Covenants - meaning - Qualitative CRM 6.25
822 Collateral / Security - Qualitative CRM 6.25
823 Types of Collateral / Security 6.25
824 Structuring of Transactions - examples 6.25
825 Sell Down - Qualitative CRM 6.26
826 Syndicated Loan - Qualitative CRM 6.26
827 Securitisation - Qualitative CRM 6.26
828 Credit Risk Management - Quantitative Techniques 6.26
829 Altman Z Score - Quantitative CRM 6.26
830 Altman Z' Score - Quantitative CRM 6.27
831 Altman Z'' Score - Quantitative CRM 6.27
832 Edward I Altman - Altman Z Score - Quantitative CRM 6.26
833 Z Score - Quantitative CRM 6.26
834 Z Score - Formula - Quantitative CRM 6.27
835 Merton Model - Quantitative CRM for Banks / Fis 6.27
836 Risk-Adjusted Return on Capital (RAROC) - Quantitative CRM 6.28
837 Risk Measures for RAROC 6.28
838 Alpha - Risk Measure for RAROC 6.28
839 Beta - Risk Measure for RAROC 6.28
840 Sharpe Ratio - Risk Measure for RAROC 6.28
841 R Squared - Risk Measure for RAROC 6.28
842 Jensen Index or Alpha - Risk Measure for RAROC 6.28
843 Return on Risk Adjusted Capital (RORAC) - RAROC - Quantitative CRM 6.29
844 RORAC - Quantitative CRM - RAROC 6.29
845 Allocated Risk Capital - RORAC 6.29
846 Economic Capital - RAROC 6.29
847 Performance Measures that utilise Economic Capital 6.29
848 Value at Risk (VaR) - RAROC 6.30
849 Risk Adjusted Return on Capital (RAROC) - meaning and formula 6.30
850 RAROC - Reason for Capital Allocation 6.30
851 Ratio Analysis 6.31
852 Financial Statement or Ratio Analysis 6.31
853 Cash Flow Analysis 6.32
854 Working Capital Analysis 6.32
855 Account Receivable Days - Working Capital Analysis 6.32
856 Payable Days - Working Capital Analysis 6.33
857 Inventory Days - Working Capital Analysis 6.33
858 Current Ratio - Working Capital Analysis 6.33
859 Quick Ratio - Working Capital Analysis 6.33
860 Credit Scoring Models - meaning 6.33
861 Credit Score - Meaning 6.33
862 Scorecards - Alternate name for Credit Scoring Models 6.34
863 Credit Scoring Models - usage 6.34
864 Credit Scoring Models - Types 6.34
865 FICO Score - Credit Scoring Model 6.34
866 Vantage Score - Credit Scoring Model 6.35
867 PLUS Score - Credit Scoring Model 6.35
868 Experian National Equivalency Score - Credit Scoring Model 6.36
869 FAKO Credit Score - Credit Scoring Model 6.36
870 Equifax - Credit Scoring Model 6.36
871 Enterprise Risk Management - Definition 8.1
872 Business Risk Management (BRM) - Definition 8.1
873 Risk and Uncertainty 8.1
874 Uncertainty and Risk 8.1
874 Risk Management - Various Definitions 8.1/8.2
875 CIMA Official Terminology - RM Definition 8.2
876 Webster New World Law Dictionary - RM Definition 8.2
877 Aligning Risk Criteria to Business Strategy 8.2
878 Enterprise Risk Management - How can it help organisations? 8.2
879 ISO 31000 - Risk management framework 8.3
880 COSO ERM Framework 8.3
881 Enterprise Risk Management - Meaning 8.3
882 Enterprise Risk Management - Definition by COSO 8.3
883 Enterprise Risk Management - Activities included 8.3
884 Risk Appetite - Meaning 8.3
885 Risk Appetitie higher than Risk Capacity - Aggressive Board 8.4
886 Risk Appetite - Internal Auditor Role 8.4
887 Enterprise Risk Management Policy 8.4
888 ERM Policy 8.4
889 Risk Management Framework - Implement ERM Policy 8.4
890 Risk Register - Meaning 8.4
891 ISO 31000 - Keys to ERM Implementation 8.4
892 Keys to ERM Implementation - ISO 31000 8.4
893 ERM Implementation - ISO 31000 Keys 8.4
894 ERM Blocks and Activities - Existing Functions used to build on it 8.6
895 Risk Maturity of an Organisation 8.6
896 Silo Approach - Risk Aware Organisation 8.7
897 Risk Aware Organisation - Silo Approach 8.7
898 Audit Strategy + Risk Maturity 8.7
899 Risk Maturity + audit strategy 8.7
900 Risk Maturity Levels - Aspects and Key Characteristics 8.7
901 Risk Naïve - Risk Maturity level 8.7
902 Risk Aware - Risk Maturity level 8.7
903 Risk Defined - Risk Maturity level 8.7
904 Risk Managed - Risk Maturity level 8.7
905 Risk Enabled - Risk Maturity level 8.7
906 Internal Audit + ERM 8.8
907 Enterprise Risk Management + Internal Audit 8.8
908 ERM + Internal Audit 8.8
909 Corporate Risk Function 8.8
910 Stakeholder Value Creation by ERM 8.8
911 Value Creation by ERM 8.8
912 Enterprise Risk management - Stakeholder Value Creation 8.8
913 ERM - Stakeholder Value Creation 8.8
914 Enterprise Resource Planning Package - ERM 8.8
915 ERM Implementation - Gains 8.8
916 Risk Management Payoff Model - meaning + benefits 8.8
917 Epstein and Rejc - RM Payoff Model - meaning + benefits 8.8
918 Stakeholder Risk Management 8.8
919 Basel II - Operational Risk meaning 9.1
920 Operational Risk - meaning 9.1
921 Basel II - short note 9.1
922 Operational Risk - risks linked to it 9.2
923 Operational Risk - why does it originate? 9.2
924 Operational Risk Management (ORM) 9.2
925 Governance Framework - Operational Risk 9.2
926 Operational Risk - Relevance 9.2
927 Relevance of Operational Risk 9.2
928 Section 134 - Operational Risk 9.2/9.3
929 Section 177 - Operational Risk 9.3
930 Schedule IV Companies Act - Operational Risk 9.3
931 SA 315 - Operational Risk 9.3
932 Internal Financial Control - definition - Section 134 9.3
933 Internal Control - defintion - SA 315 9.3
934 Controls - definition - SA 315 9.3
935 Listing Agreement - Operational Risk 9.3
936 ICAI Guidance Note - Operational Risk 9.3
937 Auditor's Responsibility - ICAI Guidance note - Operational Risk 9.3/9.4
938 IPE - Information Provided by Entity 9.4
939 EUC - End Use Computation tool 9.4
940 Control Review - operational risk 9.4
941 Review of Control - Operational risk 9.4
942 Sarbanes Oxley (SOX) 9.4
943 Internal Audit - connection b/w RM and Audit Methodology 9.4
944 ISO 31000 (Risk Management) 9.5
945 ISO 31000 (cyber security) 9.5
946 ISO 9000 (quality) 9.5
947 Operational Risk Management (ORM) - Banks 9.5
948 Convergence of Audit and Operational Risk 9.5
949 Operational Risk Management Policy 9.5
950 Operational Risk Management Policy - areas to be addressed 9.5
951 Areas to be addressed in ORM Policy 9.5
952 Operational Risk Management Committee - functions 9.5
953 Operational Risk Management Framework - constituents 9.6
954 Operational Risk Management Committee - short-note 9.6
955 Lines of Defence - Operational Risk 9.7
956 Basel II - Lines of Defence - Operational Risk 9.7
957 Operational Risk Department - second line of defence 9.7
958 Internal Audit - Third line of defence 9.8
959 Risk Based Auditing - meaning 9.8
960 Effective ORM Policy Framework 9.9
961 Operational Risk Management Framework - Effective policy 9.9
962 Entity Level Policies - ORM Policy 9.9
963 Line of Business Policies - ORM Policy 9.9
964 Departmental Policies - ORM Policy 9.9
965 Process Notes 9.9
966 Standard Operating Procedures (SOP) 9.9
967 Credit Process Note 9.9
968 Manufacturing Process Manual 9.9
969 Risk and Control Matrix - definition 9.10
970 Risk & Control Self Assessment (RCSA) - definition 9.10
971 RCSA - definition 9.10
972 RCSA - Constituents 9.10
973 Risk & Control Self Assessment (RCSA) - Constituents 9.10
974 Inherent Risk - meaning - RCSA 9.10
975 Major Impact - Inherent Risk - RCSA 9.10
976 Minor Impact - Inherent Risk - RCSA 9.10
977 Risk Types - caused by Operational Failures 9.11
978 Operational Failure - Risk Types 9.11
979 Regulatory Risk - context of operational risk 9.11
980 Financial Risk - context of operational risk 9.11
981 Financial Reporting Risk - context of operational risk 9.11
982 Legal Risk - context of operational risk 9.11
983 Reputation Risk - context of operational risk 9.11
984 Fraud Risk - context of operational risk 9.11
985 External Risk - context of operational risk 9.12
986 Risk Grading - illustrative example 9.12
987 Risk Rating - illustrative example 9.12
988 Impact / Severity - risk grading 9.14
989 Severity / Impact - risk grading 9.14
990 Probability / Frequency - risk grading 9.14
991 Frequency / Probability - risk grading 9.14
992 Risk Profile - bucketing 9.14
993 Residual Risk - in context of operational risk 9.14
994 Controls - Understanding 9.15
995 Controls - Types - prevention of inherent risk 9.15
996 Verification - Controls - Types - prevention of inherent risk 9.15
997 Reconciliation - Controls - Types - prevention of inherent risk 9.15
998 Segregation of Duties - Controls - Types - prevention of inherent risk 9.15
999 Physical Control - Controls - Types - prevention of inherent risk 9.15
1000 Supervisory Control - Controls - Types - prevention of inherent risk 9.16
1001 Exception Triggers - Controls - Types - prevention of inherent risk 9.16
1002 Authorisation/Approval - Controls - Types - prevention of inherent risk 9.16
1003 Preventive Controls - Controls - Types - prevention of inherent risk 9.16
1004 Detective Controls - Controls - Types - prevention of inherent risk 9.16
1005 Manual Controls - Controls - Types - prevention of inherent risk 9.16
1006 Automated Controls - Controls - Types - prevention of inherent risk 9.16
1007 Risk Control Self-Assessment (RCSA) - short note 9.17
1008 Technology Risk - main issues 9.17/9.18
1009 Unscheduled System Downtime - Technology Risk 9.17/9.18
1010 System Failure - Technology Risk 9.18
1011 Operational Risk event - most common 9.18
1012 Lending Institution - System Failure 9.18
1013 Manufacturing Company - System Failure 9.18
1014 User Access Control - Technology Risk 9.19
1015 Accounting System - Technology Risk 9.19
1016 Change Management - Technology Risk 9.19
1017 Information Technology General Controls (ITGC) 9.19
1018 Change Management - causes - Technology Risk 9.19/9.20
1019 Migration Risk - Technology Risk 9.20
1020 Technology Outsourcing Risk - Technology Risk 9.20
1021 Key Risk Indicators + Scenario Analysis 9.21
1022 Scenario Analysis + Key Risk Indicators 9.21
1023 Business Continuity Plan (BCP) - main heading 9.21
1024 Business Continuity - meaning 9.21
1025 Business Continuity disruption causes 9.21
1026 Business Process critical disruption examples 9.22
1027 Business Continuity Plan (BCP) - key constituents 9.22
1028 Business Impact Analysis (BIA) - short note 9.22
1029 Parameters of Prioritisation - Business Impact 9.22
1030 Business Impact - Parameters of Prioritisation 9.22
1031 Business Impact Analysis (BIA) - aspects to be covered 9.23
1032 Functional Recovery Plan (FRP) 9.23
1033 Business Continuity Plan - most challenging phase is FRP 9.23
1034 Functional Recovery Plan (FRP) - areas covered 9.24
1035 Call Tree - FRP 9.24
1036 Business Continuity Plan - chain of activities 9.25
1037 Business Continuity Plan - Decision Making Committee task 9.25
1038 Decision Making Committee task in Business Continuity Plan 9.25
1039 Chain of Activities - Business Continuity Plan 9.25
1040 Outsourcing Risk - aspects 9.25
1041 Cyber Risk - meaning 9.25
1042 Cyber Risk - Scenarios 9.26
1043 Intellectual Property Risk - cyber risk 9.26
1044 Phishing Risk - cyber risk 9.26
1045 Cyber Risk - mitigation - key aspects 9.27
1046 Information Security Controls 9.25
1047 Operational Loss Data Management 9.28
1048 Basel II - Operational Loss Data Management 9.28
1049 Internal Fraud - Basel II - Operational Loss Data Management 9.28
1050 External Fraud - Basel II - Operational Loss Data Management 9.29
1051 Operational Loss - Identification Triggers 9.31
1052 Operational Loss - Quantification 9.31
1053 Operational Loss - Booking 9.31
1054 Operational Loss - Reporting 9.32
1055 Operational Loss - Corrective Action 9.32
1056 Machine Learning 9.33
1057 Software Code vs Machine Learning 9.33
1058 Deep Learning - Machine Learning 9.33
1059 Machine Learning - examples 9.33
1060 Reinforcement Learning - Machine Learning 9.33
1061 Machine Learning - techniques 9.33
1062 Supervised Learning - Machine Learning 9.33
1063 Unsupervised Learning - Machine Learning 9.33
1064 Machine Learning - methods 9.33
1065 Cluster Analysis / Clustering - Machine Learning 9.33
1066 Regression Methods - Machine Learning 9.33
1067 Business Analytics - RM Applications 9.34
1068 Big Data - Business Analytics - RM Applications 9.34
1069 Business Analytics - used in 9.35
1070 Artificial intelligence - RM 9.35
1071 Artificial intelligence - applications 9.35
1072 Expert Systems - AI 9.35
1073 Vision System - AI 9.35
1074 Hadoop Clusters - Big Data architecture for AI 9.35
1075 Spark Clusters - Big Data architecture for AI 9.35
1076 Distributed Ledger Technology (DLT) 9.35
1077 Governance risk - meaning + examples 7.1
1078 Governance risk - evaluation 7.2
1079 Sound Risk Governance Practices - Financial Stability Board 7.2
1080 Financial Stability Board - Sound Risk Governance Practices 7.2
1081 Governance risk - List as per Financial Stability Board 7.3
1082 Board of Directors responsibility - Governance Risk 7.3
1083 Risk Committee responsibility - Governance Risk 7.3
1084 Audit Committee responsibility - Governance Risk 7.4
1085 CRO Committee responsibility - Governance Risk 7.4
1086 Risk Management Function 7.5
1087 Risk Appetite Framework (RAF) 7.5
1088 Risk Appetite Statement (RAS) 7.5
1089 Risk Governance Framework 7.6
1090 Risk Management Framework - meaning + matters to be defined 7.6
1091 Risk Assessment Process w.r.t Financial Reporting 7.6
1092 ICAI Guidance Note - Risk Assessment Process 7.6
1093 Risk Assessment Process - ICAI Guidance Note 7.6
1094 Risks can arise or change due to following circumstances 7.7
1095 Risk Assessment +Financial Reporting - Role 7.7
1096 Risk Based Internal Auditing - Short Note 7.8
1097 Internal Audit - meaning 7.8
1098 Risk Based Audit Methodologies 7.8
1099 Internal Audit - responsibility in RM 7.8
1100 Audit Risk and Sampling 7.9
1101 Sampling and Audit Risk 7.9
1102 Sampling Risk 7.9
1103 Non Sampling Risk 7.9
1104 Risk Management Disclosures - Indian Scenario 7.9
1105 Risk Management Disclosures - Companies Act 2013 7.9
1106 Companies Act 2013 - Risk Management Disclosures 7.9
1107 Risk Management Disclosures - SEBI LODR 7.10
1108 SEBI LODR - Risk Management Disclosures 7.10
1109 Management Discussion and Analysis section - SeBI LODR 7.11
1110 SeBI LODR - Management Discussion and Analysis section 7.11
1111 Risk Management Disclosures - Global Scenario 7.12
1112 ISO 31000 - purpose - RM Disclosure 7.12
1113 Integrated Reporting Framework (IRF) 7.12
1114 IRF (Integrated Reporting Framework) Objectives 7.12
1115 International Federation of Accountants (IFAC) - Integrated Reporting 7.13
1116 Integrated Reporting - International Federation of Accountants (IFAC) 7.13
1117 Risk and Opportunity Reporting (ROR) - IRF 7.13
1118 Risk Management Disclosures - Global Case Study 7.13
1119 Risk and Opportunity Disclosures - Indian example 7.14
1120 Consideration of Risk - BOD Level 7.16
1121 Corporate Risk Management 7.17
1122 Risk Management Framework - points to be considered by BOD 7.18
1123 OECD Guidelines for Corporate Governance 7.20
1124 Corporate Governance - OECD Guidelines 7.20
1125 Board of Directors responsibility - OECD Guidelines 7.22
1126 OECD Guidelines - BOD Responsibilities 7.22

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RISK MANAGEMENT INDEX - ICAI STUDY MAT

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