· Types of Risk in Financial Services
· Operational Risk
· Basel and Operational Risk
· Causes of Operational Risk
o Internal Processes
o People
o Systems (IT)
o External Events
· Capital Markets Operations
o Post-Trade Matching
o Clearing
o Settlement
o Custody
· Measuring and Managing Operational Risk in Capital Markets
o Operational Risk Cycle
o Top-Down vs. Bottom-Up Assessment
o The Three Lines of Defence Model
o Risk and Control Self-Assessment (RCSA)
o Incident Database
o Key Risk Indicators (KRI)
· Case Studies
o Internal Processes
o Human Error
o Fraud
o Outsourcing
o Pandemics
· Business Continuity Planning
· Trends in Operational Risk
