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Blog Category: Risk Management

March 2, 2017
Renovating OCC's Risk Culture
by John Fennell
John Fennell, OCC EVP and Chief Risk Officer, discusses the proactive steps to renovate the OCC's risk culture and install a culture based on "identify, escalate, and then debate."
Categories: Operational Risk Management, Risk Management

December 6, 2016
Some Thoughts by OCC on Risk Management
By John Fennell
John Fennell, OCC Chief Risk Officer, shares his insights into how OCC proactively manages its internal and external risks and best practice models that promote an enhanced risk culture within the organization.
Categories: Business Continuity, Compliance, Operational Risk Management, Risk Management

October 25, 2016
Why A Resilient Risk Management and Internal Control Infrastructure Matters
By Adi Agrawal
Adi Agrawal, OCC Senior Vice President and Chief Audit Executive, explains how as a Systemically Important Financial Market Utility (SIFMU) and leader in the exchange-listed options industry, OCC understands the importance of a strong internal control infrastructure to enhance resiliency and provide sound risk management capabilities for market participants.
Categories: Business Continuity, Operational Risk Management, Risk Management

October 4, 2016
The importance of business continuity in times of operational risk
By John Fennell
John Fennell, OCC Executive Vice President and Chief Risk Officer, discusses the proactive steps OCC takes to ensure business continuity in times of operational risk to provide uninterrupted service to its market participants during unexpected market events.
Categories: Compliance, Operational Risk Management, Risk Management

August 11, 2016
OCC Weighs In On Leverage Ratio and Impact on Listed Options Industry
By John Fennell
John Fennell, OCC Executive Vice President of Financial Risk Management, explains the recent comment letter submitted by OCC and 30 other exchanges and trading firms regarding the leverage ratio framework as proposed by the Basel Committee on Banking Supervision (BCBS).
Categories: Comment Letters, Risk Management

August 4, 2016
How OCC Manages Third-Party Risk
By Kirstin Wells
Kirstin Wells, OCC Vice President of Enterprise Risk Management, discusses the importance of risk management for a Systemically Important Financial Market Utility (SIFMU) and how OCC manages its third-party risks.
Categories: Cyber Security, Operational Risk Management, Risk Management

July 11, 2016
Bringing Innovative Ideas to the Market
By John Fennell
John Fennell, OCC Executive Vice President of Financial Risk Management, discusses OCC's credit facility with CalPERS, the largest U.S. pension fund, as a means to diversify the organization's liquidity sources to reduce risk and improve overall resiliency.
Categories: Liquidity/CalPERS, Risk Management

June 21, 2016
Strengthening Financial Market Resiliency through Technology
By Luke Moranda
Luke Moranda, OCC Senior Vice President and Chief Information Officer, explains OCC's focus on improved resiliency and meeting heightened regulatory standards through technology and innovation.
Categories: Compliance, Cyber Security, Risk Management