Investment Risk Management

 

Risk management negligence within the financial services industry contributed to one of the most significant economic crisis in the recent history of the U.S. During this time, Lehman Brothers, a global financial services company, filed for bankruptcy protection. This created the largest bankruptcy ever within the financial services industry. In order to complete this assignment, you will need to search the Internet and Strayer databases for information related to Lehman Brothers’ bankruptcy, the financial risk factors that contributed to the failure, and management’s responsibility for the failure.

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Write a five to six (5-6) page paper in which you:

  1. Based on the information you research related to Lehman Brothers, assess the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor. Make a recommendation for how firms should manage these types of risks in the future. Provide support for your recommendation. 
  2. High-risk investments such as mortgage-backed securities, had a significant impact on the valuation of investments held with Lehman Brothers, yet many financial institutions continue to use these investments today. Assess the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis. Provide support for your position. 
  3. Evaluate management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance. Determine the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented. Provide support for your response. 
  4. Given the recent debt crisis within the EURO zone of Europe, analyze the impact to the performance of foreign markets and recommend a strategy for financial firms to minimize investment risk in these markets. Provide support for your recommendation. 
  5. Evaluate the role of the Federal government, if any, related to the regulation of investments by financial institutions including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation. Predict how the regulatory environment may change over the next five (5) years. Provide support for your prediction. 
  6. Use at least five (5) quality academic resources in this assignment. Note: Wikipedia and other Websites do not qualify as academic resources.

Your assignment must follow these formatting requirements:

  • This course requires use of new Strayer Writing Standards (SWS). The format is different than other Strayer University courses. Please take a moment to review the SWS documentation for details.
  • Be typed, double spaced, using Times New Roman font (size 12), with one-inch margins on all sides; citations and references must follow SWS or school-specific format. Check with your professor for any additional instructions. 
  • Include a cover page containing the title of the assignment, the student’s name, the professor’s name, the course title, and the date. The cover page and the reference page are not included in the required assignment page length. 

 The specific course learning outcomes associated with this assignment are:

  • Explain commonly practiced risk management techniques. 
  • Use technology and information resources to research issues in financial risk analysis. 
  • Write clearly and concisely about financial risk analysis using proper writing mechanics.

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Grading for this assignment will be based on answer quality, logic / organization of the paper, and language and writing skills, using the following rubric.

Points: 280

Assignment 2: Investment Risk Management

Criteria

 

Unacceptable

Below 60% F

Meets Minimum Expectations

60-69% D

 

Fair

70-79% C

 

Proficient

80-89% B

 

Exemplary

90-100% A

1. Assess the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor. Make a recommendation for how firms should manage these types of risks in the future. Provide support for your recommendation.

Weight: 15%

Did not submit or incompletely assessed the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor; did not submit or incompletely made a recommendation for how firms should manage these types of risks in the future; did not submit or incompletely provided support for your recommendation.

Insufficiently assessed the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor; insufficiently made a recommendation for how firms should manage these types of risks in the future; insufficiently provided support for your recommendation.

Partially assessed the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor; partially made a recommendation for how firms should manage these types of risks in the future; partially provided support for your recommendation.

Satisfactorily assessed the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor; satisfactorily made a recommendation for how firms should manage these types of risks in the future; satisfactorily provided support for your recommendation.

Thoroughly assessed the factors that contributed to the financial failure of the firm, indicating how management failed to manage the risk related to each factor; thoroughly made a recommendation for how firms should manage these types of risks in the future; thoroughly provided support for your recommendation.

2. Assess the sufficiency of risk management techniques used by financial institutions today indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis. Provide support for your position.
Weight: 15%

Did not submit or incompletely assessed the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis; did not submit or incompletely provided support for your position.

Insufficiently assessed the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis; insufficiently provided support for your position.

Partially assessed the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis; partially provided support for your position.

Satisfactorily assessed the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis; satisfactorily provided support for your position.

Thoroughly assessed the sufficiency of risk management techniques used by financial institutions today, indicating whether or not you believe the risk is appropriately managed to avoid a subsequent financial crisis; thoroughly provided support for your position.

3. Evaluate management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance. Determine the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented. Provide support for your response.

Weight: 20%

Did not submit or incompletely evaluated management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance; did not submit or incompletely determined the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented; did not submit or incompletely provided support for your response.

Insufficiently evaluated management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance; insufficiently determined the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented; insufficiently provided support for your response.

Partially evaluated management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance; partially determined the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented; partially provided support for your response.

Satisfactorily evaluated management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance; satisfactorily determined the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented; satisfactorily provided support for your response.

Thoroughly evaluated management’s role within a financial investment firm for establishing proper risk management procedures for high-risk investments and the appropriate level of accountability for portfolio performance; thoroughly determined the consequences that should be enacted when Financial Firm Management fails to perform their fiduciary obligation to investors, indicating how these consequences should be implemented; thoroughly provided support for your response.

4. Given the recent debt crisis within the EURO zone of Europe, analyze the impact to the performance of foreign markets and recommend a strategy for financial firms to minimize investment risk in these markets. Provide support for your recommendation.

Weight: 15%

Did not submit or incompletely analyzed the impact to the performance of foreign markets and did not submit or incompletely recommended a strategy for financial firms to minimize investment risk in these markets; did not submit or incompletely provided support for your recommendation.

Insufficiently analyzed the impact to the performance of foreign markets and insufficiently recommended a strategy for financial firms to minimize investment risk in these markets; insufficiently provided support for your recommendation.

Partially analyzed the impact to the performance of foreign markets and partially recommended a strategy for financial firms to minimize investment risk in these markets; partially provided support for your recommendation.

Satisfactorily analyzed the impact to the performance of foreign markets and satisfactorily recommended a strategy for financial firms to minimize investment risk in these markets; satisfactorily provided support for your recommendation.

Thoroughly analyzed the impact to the performance of foreign markets and thoroughly recommended a strategy for financial firms to minimize investment risk in these markets; thoroughly provided support for your recommendation.

5. Evaluate the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation. Predict how the regulatory environment may change over the next five (5) years. Provide support for your prediction.

Weight: 20%

Did not submit or incompletely evaluated the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation; did not submit or incompletely predicted how the regulatory environment may change over the next five (5) years; did not submit or incompletely provided support for your prediction.

Insufficiently evaluated the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation; insufficiently predicted how the regulatory environment may change over the next five (5) years; insufficiently provided support for your prediction.

Partially evaluated the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation; partially predicted how the regulatory environment may change over the next five (5) years; partially provided support for your prediction.

Satisfactorily evaluated the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation; satisfactorily predicted how the regulatory environment may change over the next five (5) years; satisfactorily provided support for your prediction.

Thoroughly evaluated the role of the Federal government, if any, related to the regulation of investments by financial institutions, including the scope of the role, the authority and enforcement capability within the regulatory agency, the benefits, and consequences of regulation; thoroughly predicted how the regulatory environment may change over the next five (5) years; thoroughly provided support for your prediction.

6. 5 references

Weight: 5%

No references provided

Does not meet the required number of references; all references poor quality choices.

Does not meet the required number of references; some references poor quality choices.

Meets number of required references; all references high quality choices.

Exceeds number of required references; all references high quality choices.

7. Clarity, writing mechanics, and formatting requirements

Weight: 10%

More than 8 errors present

7-8 errors present

5-6 errors present

3-4 errors present

0-2 errors present

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