Author Archives: hollyhmiller

Operational Risk #10: Reading the Fine Print—Know Thy Legal Entities

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Survey on Operational Risk, Investor Communication and Requirements

Investors’ demands for transparency and concerns about operational risk have risen over the last several years.  Is the post-meltdown focus on due diligence in selecting managers and greater demand for specific information a lasting change or just a temporary phenomenon? Stone House Consulting, in conjunction with Infonic AG (the makers of HedgeSphere), is conducting aContinue reading “Survey on Operational Risk, Investor Communication and Requirements”

Mitigating Lottery Risk

Guarding against the loss of key staff is imperative, says Philip Lawton, and here he offers sound advice on how to mitigate the potential disaster with proper processes and procedures. Download the article This article first appeared in Performance Measurement and Client Reporting Review, Vol. 3.1, Autumn 2010. It is reprinted with the kind permission of Osney Media.

Operational Risk #9: Poor Planning and Slow Response Times—Changes in the Firm, the Marketplace and the Regulatory Environment

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Operational Risk #8: Reconciliation Gaps—A False Sense of Security

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Operational Risk #7: Amalgamated Assignments—Segregation of Duties

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Operational Risk: A Photo Really Does Speak 1,000 Words

An ‘alert reader’ sent us this link to a photo of JPMorgan’s London trading floor, which last week suffered from a plumbing problem–presumably from the floor above. We recommend anyone interested in operational risk click to see the photo and then envision your own trading desk or client files. We suspect JPMorgan may appreciate theContinue reading “Operational Risk: A Photo Really Does Speak 1,000 Words”

Operational Risk #6: Playbooks—Workflow Documentation

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!