Tag: governance
Concepts
- Alternative Data Diligence and Consent
- Audit Trail Requirements for Research
- Change Control for Live Strategies
- Compliance Sign-Off for a New Strategy
- Independence of the Validation Function
- Information Barriers and Wall-Crossing
- Investment Committee Sign-Off
- Capturing Knowledge from Retired Strategies
- What a Model Document Must Contain
- Model Governance and SR 11-7
- Model Inventory and Risk Tiering
- Model Risk Management
- Operational Risk
- Related-Party Transactions as a Red Flag
- Risk Limit Frameworks
- SR 11-7 and Model Risk Management Guidance
- How Capital Allocation Decisions Get Made
- The Firm-Level Risk Budget
- The Three Lines of Defence
- Validating Black-Box Models for Model Risk Committees
- Versioning and Re-Fitting a Live Strategy