The New Basel Capital Accord (Basel II): Implementation and Compliance Training

SpectraMind Solutions provides training in The New Basel Capital Accord (Basel II): Implementation and Compliance

Course Title
The New Basel Capital Accord (Basel II): Implementation and Compliance Training
3 days
Objectives:
The seminar has been designed to provide with the knowledge and skills needed to understand and support Basel II compliance.
Target Audience:
This course is intended for IT and risk managers and professionals from Banks, Financial Institutions, Multinational Corporations, Supervisory Agencies.
This course is recommended for all managers and professionals who need to understand and speak the specialized language of Basel compliance, which must become the common language throughout their
organization.
This course is highly recommended for:
Directors, Managers and Professionals
Risk and Compliance Officers
Process Owners
Network, System and Security Administrators
IT Auditors
IT, Security and Management Consultants

Duration:
3 Days, 09:00 to 17:00.
Course Synopsis:
The Bank for International Settlements (BIS)
The Basel Committee on Banking Supervision
From the Young Plan (1930) to Basel II
Regulatory supervision of internationally active banks
The failure of the Bankhaus Herstatt and the crisis of confidence
First Basel Capital Accord
Formulating broad supervisory standards and guidelines
Regulatory and economic capital
Important objectives
1980s: The capital ratios of the main international banks are deteriorating Credit Risk
Assets are weighted by factors
On-balance sheet engagements
Off-balance sheet engagements
Examples of capital requirements
December 1987: The Basel Capital Accord approved by the G10 Basel I amendments
The New Basel Capital Accord (Basel II)
Realigning the regulation with the economic realities of the global banking markets
New capital adequacy framework replaces the 1988 Accord
Improving risk and asset management to avoid financial disasters
"Sufficient assets" to offset risks
The technical challenges for both banks and supervisors
How much capital is necessary to serve as a sufficient buffer?
The three-pillar regulatory structure
Purposes of Basel II
Scope of the application
Pillar 1: Minimum capital requirements
Credit Risk – 3 approaches
The standardized approach to credit risk
Claims on sovereigns
Claims on banks
Claims on corporates
The two internal ratings-based (IRB) approaches to credit risk
Some definitions: PD - The probability of default, LGD - The loss
given default, EAD - Exposure at default, M – Maturity
5 classes of assets
Pillar 2: Supervisory review
Key principles
Aspects and issues of the supervisory review process
Pillar 3: Market discipline
Disclosure requirements
Qualitative and Quantitative disclosures
Guiding principles
Employees Affected
Effective Dates
Framework for internal control systems in banking organizations -
Basel Committee on Banking Supervision
The 13 Principles for the Assessment of Internal Control Systems
The 13 Principles and COSO
The control environment
Risk assessment
Control activities
Information and communication
Monitoring
Types of control breakdowns typically seen in problem bank cases
The objectives and role of the internal controls framework
The major elements of an internal control process
Evaluation of internal control systems by supervisory authorities
Role and responsibilities of external auditors
Supervisory lessons learned from internal control failures
Operational Risk
What is operational risk
Legal risk
Information Technology operational risk
Operational, operations and operating risk
The evolving importance of operational risk
Quantification of operational risk
Loss categories and business lines
Operational risk measurement methodologies
Identification of operational risk
54
The Delphi method
Operational Risk Approaches
Basic Indicator Approach (BIA)
Standardized Approach (SA)
Alternative Standardized Approach (ASA)
Advanced Measurement Approaches (AMA)
Internal Measurement Approach (IMA)
Loss Distribution (LD)
Standard Normal Distribution
“Fat Tails” in the normal distribution
Expected loss (EL), Unexpected Loss (UL)
Value-at Risk (VaR)
Value-at Risk and Basel I amendment, 1996
Value-at Risk and Basel II
Calculating Value-at Risk
Monte Carlo simulations
Monte Carlo limitations
Extreme Value theory
Scoreboards
Stress Testing
Stress testing and Basel
(AMA) Advantages / Disadvantages
Recognition of the firms’ own modeling of operational risk losses
“Weak banks”, internal and external audit and sound practices for operational risk
Self assessment
Key Risk Indicators
Operational Risk Measurement Issues
The game theory
The prisoner’s dilemma – and the connection with operational risk measurement and management
Operational risk management
Operational Risk Management Office
Key functions of Operational Risk Management Office
Key functions of Operational Risk Managers
Key functions of Department Heads
Internal and external audit
Operational risk sound practices
Operational risk mitigation
Insurance to mitigate operational risk
55
Third-party service providers and vendors
Redefining outsourcing
Outsourcing services and Basel II compliance
The new definition of outsourcing
Outsourcing after Basel II
Offshore outsourcing is also redefined
Key risks of outsourcing
What is needed from vendors and service providers
Basel II and other regulations
Basel and other regulations
Governance issues
Capital Requirements Directive (CRD)
Markets in Financial Instruments Directive (MiFID)
What will be the impact of MiFID to EU and non EU banks?
Aligning Basel II operational risk and Sarbanes-Oxley 404 projects
Common elements and differences of compliance projects
New standards
Disclosure issues
Multinational companies and compliance challenges

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++ India Course Dates, Venue & Timings:

Sl.No. State City Batch1-Date Batch1-Date Batch2-Date Batch2-Date Batch3-Date Batch3-Date Batch4-Date Batch4-Date Venue Contact
1 Telangana Hyderabad 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 SPECTRAMIND , Flat 617, 6th Floor ,Annapurna block, Aditya enclave, Ameerpet, Hyderabad-500016 Jason
2 Karnataka Bangalore 5-Sept’15 6-Sept’15 3-Oct’15 4-Oct’15 7-Nov’15 8-Nov’15 5-Dec’15 6-Dec’15 SPECTRAMIND,DBS center , Cunningham road , Bangalore Namratha
3 Tamilnadu Chennai 12-Sept’15 13-Sept’15 10-Oct’15 11-Oct’15 14-Nov’15 15-Nov’15 12-Dec’15 13-Dec’15 SPECTRAMIND,CHENNAI, CitiCentre , Level 6, 10/11 Dr.Radhakrishna Salai,Chennai,Tamil Nadu,600 004,India Mr.yogadasan
4 Maharashtra Mumbai 19-Sept’15 20-Sept’15 17-Oct’15 18-Oct’15 21-Nov’15 22-Nov’15 19-Dec’15 20-Dec’15 SPECTRAMIND,DBS Heritage,Prescot Road,Opp. Cathedral Sr. School,Fort, Mumbai 400001. DBS Heritage (From Airport instruct the car / cab driver to drive to Fort, FashionStreet. It’s near Siddharth College, Budha Bhavan. Also there are schools like J. P. Pettit School & Cathedral Sr. School Mr.Vasudev
5 Maharashtra Pune 29-Sept’15 30-Sept’15 30-Oct’15 31-Oct’15 29-Nov’15 30-Nov’15 30-Dec’15 31-Dec’15 SPECTRAMIND,Panchasheel tech park,Yerwada, Pune Mr.Manish
6 Delhi Delhi 5-Sept’15 6-Sept’15 24-Oct’15 25-Oct’15 28-Nov’15 29-Nov’15 26-Dec’15 27-Dec’15 SPECTRAMIND,Paharpur Business Centre, 21, Nehru Place Greens, New Delhi - 110019 Rama Gopal :
7 Haryana Gurgaon 5-Sept’15 6-Sept’15 24-Oct’15 25-Oct’15 28-Nov’15 29-Nov’15 26-Dec’15 27-Dec’15 Gurgaon - SpectraMind, Level 9, Spaze i-Tech Park, A1 Tower, Sector - 49, Sohna Road, Gurgaon, 122018 Rama Gopal :
8 UP Noida 5-Sept’15 6-Sept’15 24-Oct’15 25-Oct’15 28-Nov’15 29-Nov’15 26-Dec’15 27-Dec’15 Noida - SpectraMind, Tapasya Corp Heights, Ground Floor, Sector 126, Uttar Pradesh, Noida Rama Gopal :
9 Haryana Chandigarh 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Chandigarh - SpectraMind, Level 4, Tower-A, Godrej Eternia, plot number 70, Industrial Area 1, Haryana, Chandigarh Kavita
10 Westbengal Kolkata 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 SpectraMind , The Legacy, 1st Floor, 25-A, Shakespeare Sarani, Kolkata, 700017 Mr.Hamid :
11 Andhra Pradesh Vizac/ Vishakhapatnam 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Vizac- SpectraMind , Naga Chambers, Level 3 & 4, D/No. 12-1-16 Plot No. 49, Survey No 1051, Opposite HDFC bank, Waltair Main Road, Visakhapatanam, 530002 Vijay -94400 89341
12 Andhra Pradesh Vijayawada 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Vijayawada- SpectraMind , DBS center Vijay -94400 89341
13 Bihar Patna 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 DBS Center, Patna Jason
14 Chhattisgarh Raipur 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 DBS center ,Raipur Jason
15 Gujarat Ahmedabad 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov15 2-Nov’15 1-Dec’15 2-Dec’15 Ahmedabad - SpectraMind, 101 – 104, GCP Business Centre, Opp. Memnagar Fire Station, Vijay Cross Road, Memnagar, Ahmedabad, 380014 Mr.Alok
16 Karnataka Mysore 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov15 2-Nov’15 1-Dec’15 2-Dec’15 DBS center , Mysore Namratha
17 Karnataka Hubli 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-ov’15 1-Dec’15 2-Dec’15 DBS center , Hubli Namratha
18 Kerala Cochin 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-ov’15 1-Dec’15 2-Dec’15 SPECTRAMIND,ThomasMount ,ICTA Building,Changampuzha Nagar P.O.,Cochin- 682033 Mr.Manoj: 9995881093
19 Kerala Trivandrum 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov15 2-Nov’15 1-Dec’15 2-Dec’15 Hotel Classic Avenue, Thampanoor, Trivandrum, Kerala. Mr.Manoj
20 Madhya Pradesh Indore 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Indore – SpectraMind , DNR 90, Unit Nos. 301, 3rd floor, 569/3, MG Road, Indore, 452003 Arun :9755598333
21 Orissa Bhubaneshwar 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Vani Vihar, Bhubaneshwar Mr. Satya Deep : 95811 98770
22 Rajasthan Jaipur 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 DBS center,Jaipur Mr.Manish
23 Tamilnadu Coimbatore 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Coimbatore , SpectraMind ‘Srivari Srimath”, 3rd floor, Door No.1045,Avinashi Road, Coimbatore, 641 018 Mr.Balaji
24 Uttar Pradesh Lucknow 1-Sept’15 2-Sept’15 1-Oct’15 2-Oct’15 1-Nov’15 2-Nov’15 1-Dec’15 2-Dec’15 Lucknow – SpectraMind , 4th Floor, Halwasiya Court, Hazratganj, Uttar Pradesh, Lucknow, 226001 Mr.Sandeep

Contact Details:

Mr. Vijay Bhaskar Reddy

Mobile: 0 94400 89341

Phone: 040-6456 8797

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