Journal of Operational Risk

Risk.net

Implementing Basel II standards on the buy side

Bernard J. Bresnahan

ABSTRACT

The Basel II Accord now requires banks and brokerage firms to establish industry standard controls related to operational risk. The implementation of Basel II standards has demanded enormous resources from the banking and brokerage industry. This article explores the need, merits and practical considerations of implementing similar industry standards to investment management firms, both traditional and alternative managers, or collectively the “buy side”.

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