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Why should one take this course?

  • To have a comprehensive and in depth knowledge about operations risk management.
  • To identify operations risk issues.
  • To understand approaches to mitigate operations risk issues.

Who will benefit from this course?

  • Students
  • Finance Professionals
  • Employees with banks and financial services sector
  • Anybody having interest in this subject

Operations Risk Management Syllabus

 

Introduction to Operations Risk

  • Risk & Uncertainty
  • The Financial Sector
  • Risk Types
  • Operations Risk
  • Operations Risk Management
    1. Recruitment & Training
    2. Work Flow Design
    3. Work Flow Documentation
    4. Delegation of Authority
    5. Independent Internal Audit
    6. Independent Compliance Function
    7. Independent Risk Management Function
    8. Systems Audit
    9. Corporate Governance
    10. Whistle Blower Policy
    11. Risk Management Culture

Trades in Secondary Market

  • Trade Intermediaries
    1. Stock Broker
    2. Trading Member (TM)
    3. Clearing Member (CM)
    4. Authorised Persons
    5. Sub-brokers
    Screen-Based Trading System