Managing Operational Risk in Capital Markets

Description

By the end of the Course the Attendees should be able to: • Understand operational risk and its causes. • Describe the key characteristics and the impact of operational risk on capital markets operations. • Define and apply effective methods for managing operational risk in capital markets operations. • Create and operate an incident database to manage historical data related to operational risk. • Manage operational risks by using quantitative and qualitative techniques that are accessible through capital markets operations. • Define and apply market standards for managing operational risk

Course content

1.Types of Risk in Financial Services

2. Basel and Operational Risk

3. Causes of Operational Risk

•  3.1 Internal Processes

•  3.2 People

•  3.3 Systems (IT)

•  3.4 External Events

4. Capital Markets Operations

• 4.1Post-Trade Matching

• 4.2Clearing

• 4.3Settlement

• 4.4Custody

5. Measuring and Managing Operational Risk in Capital Markets

• 5.1Operational Risk Cycle

• 5.2Top-Down vs. Bottom-Up Assessment

• 5.3Three Lines of Defence Model

• 5.4Risk and Control Self-Assessment (RCSA)

• 5.5Incident Database

• 5.6Key-Risk Indicators

6. Business Continuity Planning

7. Trends in Operational Risk

Sessions

Duration

1 day
up to 15
1 session available
In person training
1 day
up to 15
625€
for GFR/ALRiM members
750€
for non-members
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