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Operational Risk Management Oct 4

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Operational Risk Management October 4, 2009 By: A V Vedpuriswar
Introduction ,[object Object],[object Object],[object Object]
Typical Bank Org Structure
Front Office ,[object Object],[object Object],[object Object],[object Object]
Middle Office
Middle Office functions ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Middle Office functions ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Back Office ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
More about the Back Office ,[object Object],[object Object],[object Object],[object Object]
The Trade Lifecycle Trade Execution Trade Capture (Front office) Trading Activities Trade Capture (Back Office) Trade Enrichment Operational Activities Trade Validation Trade Agreement Transaction Reporting Settlement Instructions The Role of the Custodian Pre Value Date Settlement Instruction Status Settlement Failure Trade Settlement Reflecting Trade Settlement Internally
Trade skeleton ,[object Object],[object Object]
Recording details ,[object Object],[object Object]
Trade agreement/validation ,[object Object],[object Object],[object Object]
Settlement : Exchanging Securities and Cash ,[object Object],[object Object],[object Object],[object Object],[object Object]
Free of Payment ,[object Object],[object Object],[object Object]
Settlement Department ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Static data ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Static Data ,[object Object],[object Object],[object Object]
Compliance ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Settlement failures ,[object Object],[object Object],[object Object]
Definition ,[object Object],[object Object],[object Object]
Types of Operational Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Internal Fraud ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
External Fraud ,[object Object],[object Object],[object Object],[object Object],[object Object]
Employment practices and workplace safety ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Clients, products and business practices ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Damage to physical assets ,[object Object],[object Object],[object Object]
Business disruption and system failures ,[object Object],[object Object],[object Object]
Execution, delivery and process management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Qualitative assessment ,[object Object],[object Object],[object Object],[object Object]
Risk Assessment ,[object Object],[object Object],[object Object],[object Object]
Operational Risk Indicators ,[object Object],[object Object],[object Object],[object Object],[object Object]
From lagging into leading indicators ,[object Object],[object Object],[object Object],[object Object]
Statistical Approaches ,[object Object],[object Object],[object Object],[object Object],[object Object]
Risk Mapping
Legal risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Master Agreements ,[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object]
Reputation risk
Reputation Risk ,[object Object],[object Object],[object Object],[object Object]
Strategic Risk
Strategic(Business) Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Model Risk
Model Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Dealing with model risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

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Operational Risk Management Oct 4

  • 1. Operational Risk Management October 4, 2009 By: A V Vedpuriswar
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  • 10. The Trade Lifecycle Trade Execution Trade Capture (Front office) Trading Activities Trade Capture (Back Office) Trade Enrichment Operational Activities Trade Validation Trade Agreement Transaction Reporting Settlement Instructions The Role of the Custodian Pre Value Date Settlement Instruction Status Settlement Failure Trade Settlement Reflecting Trade Settlement Internally
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