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RMIM-13-madoff-a-riot-of-red-flags.html
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<!doctype html>
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<title>Risk Management and Investment Management | Chapter 13 | Madoff: A Riot of Red Flags</title>
<meta name="description" content="Financial Risk Manager Part 2 Study Materials">
<meta name="author" content="MacLane Wilkison">
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<section>
<h1>Chapter 13</h1>
<h3>Madoff: A Riot of Red Flags</h3>
<p>
<small>Created for <a href="http://alchemistsacademy.com">Alchemists Academy</a> by <a href="http://alchemistsacademy.com/about">MacLane Wilkison</a></small>
</p>
</section>
<section>
<h2>Operational Red Flags</h2>
<ul>
<li>Lack of segregation amongst service providers</li>
<li>Obscure auditors</li>
<li>Unusual fee structure</li>
<li>Heavy family influence</li>
<li>Lack of staff</li>
<li>Lack of SEC registration</li>
<li>Extreme secrecy</li>
<li>Paper tickets, lack of electronic account access</li>
<li>Conflicts of interest</li>
</ul>
</section>
<section>
<h2>Investment Red Flags</h2>
<ul>
<li>Black box strategy</li>
<li>Questionable style exposures</li>
<li>Incoherent 13 filings</li>
</ul>
</section>
<section>
<h1>THE END</h1>
<h3><a href="http://alchemistsacademy.com">AlchemistsAcademy.com</a></h3>
</section>
</div>
</div>
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