Question

Difficulty: HardNon-Systematic and Credit Risks

A financial advisor is reviewing portfolio exposures to various non-systematic and credit risks for a client. Match each corporate or municipal event scenario to the specific category of risk it primarily exemplifies.

  • A municipal revenue bond issuer faces inability to pay scheduled debt service due to project revenues falling significantly below projections.Credit (Default) Risk
  • A corporation's outstanding debt rating is reduced from A to BBB following a sudden shift in consumer demand toward a competitor's product line.Credit Downgrade Risk
  • A heavily leveraged enterprise experiences severe earnings distress because high fixed interest burdens exceed net operating income during an economic slowdown.Financial Risk
  • An over-the-counter derivative contract fails to complete because the contracting financial institution enters bankruptcy prior to the settlement date.Counterparty Risk

Answer

Each scenario matches to its primary risk type based on the underlying loss mechanism: credit/default risk for failure to pay debt service, credit downgrade risk for rating agency downgrades, financial risk for capital structure/leverage distress, and counterparty risk for bilateral contract settlement failure.
Each event corresponds directly to its specific non-systematic risk category based on whether the primary cause of risk is debt service default, rating reduction, capital structure debt loading, or bilateral contract default.

Step-by-Step Solution

1
Analyze the municipal revenue bond scenario
Matches Credit (Default) Risk
Failure to pay interest or principal due to insufficient revenues is the definition of credit default risk.
2
Analyze the corporate debt rating reduction scenario
Matches Credit Downgrade Risk
A rating reduction (e.g., A to BBB) by a credit rating agency represents downgrade risk.
3
Analyze the high fixed interest expense scenario
Matches Financial Risk
Financial risk arises from excessive leverage in the capital structure relative to operating cash flows.
4
Analyze the OTC derivative contract failure scenario
Matches Counterparty Risk
Inability of a trading partner in a bilateral OTC agreement to settle is counterparty risk.

Key Concept

Non-systematic risks are issuer-specific or transaction-specific risks that can be mitigated through diversification, unlike market-wide systematic risks.
Estimated Time:2m 0s
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