A comprehensive e-learning product with up-to-date coverage of all guidelines issued by the Basel Committee
The theme of this course:
Measurement, Monitoring and Formulation of prudential regulations and requirements to foster the development of a framework to control risks inherent in banking as per the guidelines issued by the Basel Committee on Banking Supervision.
Course Overview:
Banks serve unique economic functions, and those functions are directly related to their inherent vulnerability. Weaknesses in the banking system of a country, whether developing or developed, can threaten financial stability both within that country and internationally. In today's financial environment, dominated by a dynamic, aggressive financial service industry, banks as major players operate with greater freedom.
Banks are exposed to greater financial risks than before due to the appearance of more complex and dynamic transactions that have substantially increased uncertainties.
Advances in IT technology, capital movements and geographical extension of banking business have become the new engines of global integration.
What seems to be important for banking systems is not the size, but the level of compliance with the internationally accepted rules and standards, and their functionality.After completing this course you will be able to:
- Identify and understand risks inherent in Banking
- Develop a framework to mitigate risks in accordance with the guidlelines issued by the Basel Committee Target Audience:
Every professional involved in the global financial services industry (as a provider, user, regulator or advisor of product/services, marketplace/exchange) would benefit from our innovative solutions.
Supervisory Agencies
Central Banks
Financial Institutions
Commercial Banks
Investment Banks
Housing Societies/Thrifts
Mutual Funds
Brokerage Houses
Stock Exchanges
Derivatives Exchanges
Insurance Companies
Multinational Corporations
Accountancy Firms
Consultancy Firms
Law Firms
Rating Agencies
Multi-lateral Financial Institutions
Others
Course Level and Number of Courses:
Intermediate Level
Library of 15 Courses
Instructional Method:
Dynamic, Interactive e-learning
Recommended Background:
Familiarity with basic financial concepts
The theme of this course:
Measurement, Monitoring and Formulation of prudential regulations and requirements to foster the development of a framework to control risks inherent in banking as per the guidelines issued by the Basel Committee on Banking Supervision.
Course Overview:
Banks serve unique economic functions, and those functions are directly related to their inherent vulnerability. Weaknesses in the banking system of a country, whether developing or developed, can threaten financial stability both within that country and internationally. In today's financial environment, dominated by a dynamic, aggressive financial service industry, banks as major players operate with greater freedom.
Banks are exposed to greater financial risks than before due to the appearance of more complex and dynamic transactions that have substantially increased uncertainties.
Advances in IT technology, capital movements and geographical extension of banking business have become the new engines of global integration.
What seems to be important for banking systems is not the size, but the level of compliance with the internationally accepted rules and standards, and their functionality.After completing this course you will be able to:
- Identify and understand risks inherent in Banking
- Develop a framework to mitigate risks in accordance with the guidlelines issued by the Basel Committee Target Audience:
Every professional involved in the global financial services industry (as a provider, user, regulator or advisor of product/services, marketplace/exchange) would benefit from our innovative solutions.
Supervisory Agencies
Central Banks
Financial Institutions
Commercial Banks
Investment Banks
Housing Societies/Thrifts
Mutual Funds
Brokerage Houses
Stock Exchanges
Derivatives Exchanges
Insurance Companies
Multinational Corporations
Accountancy Firms
Consultancy Firms
Law Firms
Rating Agencies
Multi-lateral Financial Institutions
Others
Course Level and Number of Courses:
Intermediate Level
Library of 15 Courses
Instructional Method:
Dynamic, Interactive e-learning
Recommended Background:
Familiarity with basic financial concepts
Course Content
Library of 15 Courses on Global Banking SupervisionTime taken to complete each Course: Two - Three hours
1. Core Principles and Methodology
Before You Begin…
Introduction
Preconditions
Licensing Process and Changes in Structure
Transfer of a Bank's Shares
Major Acquisitions or Investments
Capital Adequacy
Asset Quality and Reserve
Concentration of Risks & Large Exposures
Connected Lending
Material Risks
Internal Controls
Methods of On-Going Banking Supervision
Information Requirements of Banking Organizations
Formal Powers of Supervisors
Cross Border Banking
Additional Requirements and Self-Assessment
2. Supervisory Self-Assessment
Before You Begin…
Introduction
The Self-Assessment Strategy
Four Phases of Self-Assessment
Self-Assessment Report
Statement of Cooperation between Banking Supervisors
3. Corporate Governance in Banks
Before You Begin…
Introduction
Sound Corporate Governance Practices in Banking
The Role of Public Disclosure
Supervisors and Transparency
Recommendations for Enhancing Bank Transparency
Supportive Environment to Corporate Governance
4. Internal Control System
Before You Begin…
Introduction
Management Oversight and Control Culture
Risk Recognition and Assessment
Control Activities and Segregation of Duties
Information and Communication
Monitoring Activities and Correcting Deficiencies
Audit Function
Internal Control Deficiencies
5. Internal Audit in Banks
Before You Begin…
Introduction
Objectives and Tasks of the Internal Audit Function
Principles of Internal Audit
Functioning of Internal Audit
Supervisory Authority and Internal & External Auditors
Audit Committee
Outsourcing of the Internal Audit
6. Supervisors and External Auditors
Before You Begin…
Introduction
Board and Management
The Role of External Auditors
The Role of Bank Supervisor
Governance and Other Aspects
7. Management of Operational Risk
Before you Begin…
Introduction
Risk Management Environment
Risk Management
Role of Supervisors
Role of Disclosure
8. Liquidity Management
Before You Begin…
Introduction
Developing a Structure
Measuring and Monitoring Net Funding Requirements
Review Assumptions
Managing Market Access
Contingency Planning
Foreign Currency Liquidity Management
Internal Controls
The Role of Supervisors and Disclosures
9. Credit Risk Management
Before You Begin…
Introduction
Establishing Credit Risk Environment.
Credit Granting Process
Credit Administration, Measurement and Monitoring
Adequate Controls Over Credit Risk
Role of supervisors
10. Settlement Risk in Foreign Exchange
Before You Begin…
Introduction
The Nature of FX Settlement Risk
Senior Management Responsibilities
Duration of FX Settlement Exposure
Measurement of FX Settlement Exposures
Setting Limits and Managing Fails
Contingency Planning
Use of Bilateral Netting
Alternative Arrangements
Internal Audit and Counter Parties
Role of Supervisors
11. Trading and Derivatives Activities
Before You Begin…
Introduction
Enhancing Transparency
Quantitative Disclosures
Qualitative Disclosures
12. Risk Management Principles for E-banking
Before You Begin…
Introduction
Board and Management Oversight
Security Controls
Legal and Reputational Risk Management
Cross-Border E-Banking Activities
13. Loan Accounting and Disclosure
Before You Begin…
Introduction
Foundations for Sound Accounting
Accounting for Loans
Public Disclosure
Role of Supervisors
14. Highly Leveraged Institutions
Before You Begin…
Introduction
Banks' Involvement with HLIs Credit Risk Strategy
Information Gathering, Due Diligence and Credit Analysis
Limit setting
Collateral, Early Termination and Other Contractual Provisions
Ongoing Monitoring of Positions vis-à-vis HLIs
Specific Actions by Banks to Implement Sound Practices
15. Dealing with weak banks
Before You Begin…
Introduction
Weak Banks and Problems
Preconditions
Channels for Information about Weaknesses
Corrective Action
Types of Weaknesses
Resolution and Exit
JOB AIDS
Core Principles and Methodology
Supervisory self-assessment
Corporate Governance in Banks
Internal Control System
Supervisors and Internal Auditors
Supervisors and External Auditors
Management and Supervision of Operational Risk
Sound Practices for Managing Liquidity
Credit Risk Management
Settlement Risk in Foreign Exchange Transactions
Trading and Derivative Activities
Risk Management for e-Banking
Loan Accounting and Disclosure
Highly Leveraged Institutions
Dealing with weak Banks
Others
