Rogue Trader

The movie “Rogue Trader” illustrates some important points regarding the value of internal controls. After
seeing the movie and finishing the paper, students are expected to (1) understand that integrity, ethical
values and competence of employees are critical; (2) learn that perpetrators can and do face severe
consequences; (3) become familiar with professional guidance regarding internal controls (e.g., COSO I/C or
ERM); and (4) recognize the impact of the “tone at the top” (e.g., senior management’s philosophy and
operating style)
• Teamwork (3 members in each group; see the next page for more details)
• The essay should have at least the following four sections with appropriate titles–
1. Introduction (2 pts)
Always start your written/oral presentation with a brief introduction!
2. Evaluations of Barings’ internal control by using the COSO I/C framework (9 pts)
• Control Environment (Required; Carefully elaborate)
• Risk assessment (Optional)
• Control Activities (Required; Focused on authorization & segregation of duties)
• Information & Communication (Optional)
• Monitoring (Required); Remember to evaluate internal & external auditors
3. Fraud Triangle (3 pts)
Use the fraud triangle to analyze Nick Leeson’s fraudulent acts and SHOW YOUR ANSWERS BY
Pressure Opportunity Rationalization
• ……
• ……
• ……
• ……
• ……
• ……
4. Conclusion (10 pts) →What have YOU learned from the movie?
(At least two pages with FIVE solid/insightful points!)
Format & Deadline
• Page limit: 5 pages (not including the cover and references; show the names of participating members on
the cover)
• Provide a cover page WITHOUT a page number. The page number of your first page of content should
be 1. (See here for steps)
• Microsoft Word, Times New Roman, 12-point font, 1-inch margins, and double-spaced.
• Remember that grammatical or spelling errors will not impress the reader.
• Analyze Nick Leeson by using the Fraud Triangle and the internal control of Barings by using COSO I/C
Framework. Stay away from movie details and “he-said, she-said”!! For information on Rogue Trader check on this:

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