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Appendix B
Case Study Framework
The Presentation Slides for Teaching
Financial Regulations and Compliance Practices
Website : https://sites.google.com/site/quanrisk
E-mail : quanrisk@gmail.com
Copyright © 2016 CapitaLogic Limited
Declaration
Copyright © 2016 CapitaLogic Limited.
All rights reserved. No part of this presentation file may be
reproduced, in any form or by any means, without written
permission from CapitaLogic Limited.
Authored by Dr. LAM Yat-fai (林日辉林日辉林日辉林日辉),
Principal, Structured Products Analytics, CapitaLogic Limited,
Adjunct Professor of Finance, City University of Hong Kong,
Doctor of Business Administration (Finance),
CFA, CAIA, CAMS, FRM, PRM.
Copyright © 2016 CapitaLogic Limited 2
Case study framework
Abstract
Introduction
Causes
Processes
Consequences
Impacts
Lessons learnt
Other important aspects
Copyright © 2016 CapitaLogic Limited 3
Abstract
Most important information
Limit to ONE slide only
Copyright © 2016 CapitaLogic Limited 4
Introduction
When
Where
Who
What
Copyright © 2016 CapitaLogic Limited 5
Causes
Root causes
Triggering causes
Copyright © 2016 CapitaLogic Limited 6
Processes
Early
Middle
Late
Copyright © 2016 CapitaLogic Limited 7
Consequences
Financial losses
Non-financial losses
Copyright © 2016 CapitaLogic Limited 8
Impacts
Immediate impacts
Longer term impacts
Copyright © 2016 CapitaLogic Limited 9
Lessons learnt
Something should have been done
Something should have never been done
Preventive measures to avoid similar mistakes
in the future
Copyright © 2016 CapitaLogic Limited 10
Other important aspects
Any important aspects not covered in the
standard framework
Copyright © 2016 CapitaLogic Limited 11

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Case Study Framework for Teaching Financial Regulations