加拿大中央银行支付清算系统操作风险管理.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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