加拿大中央銀行支付清算係統操作風險管理.pdf36

Contents
Acknowledgements . . . . iv
Abstract v
Résumé . . . . . . . . . . . . . vi
1. Introduction . . . . . . 1
2. Systemically Important Payment, Clearing, and Settlement Systems in Canada . . . . . . . . . 3
3. Operational Risk and Oversight of Systemically Important PCSS . . . . . . 5
4. The Growing Awareness of Operational Risk . . . . . . . . 8
5. A Possible Framework for Assessing and Managing Operational Risk in PCSS . . . . . . . . 10
5.1 Defining operational risk in PCSS . . . . . . . . . . . 11
5.2 Identifying operational risk in PCSS . . . . . . . . . 12
5.3 Assessing and measuring operational risk in PCSS . . . . . . . . . . . . 13
5.4 Controlling and mitigating operational risk in PCSS . . . . . . . . . . . 16
5.5 Monitoring operational risk in PCSS . . . . . . . . . 18
6. Conclusion . . . . . . 19
Bibliography . . . . . . . . . 20
Figures 23
Appendix A: Recent Regulatory Developments with Respect to Operational Risk in
Financial Institutions . . . . . . 26
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