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Home
ABOUT
Services
Course Library
Training Curriculum
  • Financial Accounting
  • Alternative Investments
  • Banking & Regulations 1
  • Banking & Regulations 2
  • Capital Markets
  • Capital Market Operation1
  • Capital Market Operation2
  • Corp Finance Mergers & AQ
  • Derivatives 1
  • Derivatives 2
  • Crypto Currencies
  • Equities
  • Excel & Financial Model
  • Fixed Income
  • Portfolio & Wealth Mgmt.
  • Risk Management 1
  • Risk Management 2
Clientele
CONTACT
More
  • Home
  • ABOUT
  • Services
  • Course Library
  • Training Curriculum
    • Financial Accounting
    • Alternative Investments
    • Banking & Regulations 1
    • Banking & Regulations 2
    • Capital Markets
    • Capital Market Operation1
    • Capital Market Operation2
    • Corp Finance Mergers & AQ
    • Derivatives 1
    • Derivatives 2
    • Crypto Currencies
    • Equities
    • Excel & Financial Model
    • Fixed Income
    • Portfolio & Wealth Mgmt.
    • Risk Management 1
    • Risk Management 2
  • Clientele
  • CONTACT

Lucas & Associates

Lucas & AssociatesLucas & AssociatesLucas & Associates
  • Home
  • ABOUT
  • Services
  • Course Library
  • Training Curriculum
    • Financial Accounting
    • Alternative Investments
    • Banking & Regulations 1
    • Banking & Regulations 2
    • Capital Markets
    • Capital Market Operation1
    • Capital Market Operation2
    • Corp Finance Mergers & AQ
    • Derivatives 1
    • Derivatives 2
    • Crypto Currencies
    • Equities
    • Excel & Financial Model
    • Fixed Income
    • Portfolio & Wealth Mgmt.
    • Risk Management 1
    • Risk Management 2
  • Clientele
  • CONTACT

BANKING AND REGULATIONS 2

measuring and managing operational risk

Frequent headlines in the financial press on developments about Basel III requirements are a regular reminder about the importance of understanding the potential changes to capital regulatory requirements in the banking sector globally.  In contrast to credit and market risks, operational risk remains poorly understood and managed.  This course is designed for finance professionals who want to increase their understanding of operational risk within the Basel II framework.  The course is interactive and is comprised of a lecture, case studies, and relevant articles to supplement discussion of recent developments of Basel II implementation.



Duration: Two day

Program Level: Intermediate

Prerequisites: There are no prerequisites


Learning Objectives

  • Define operational risk
  • Identify the core concepts involved in Basel II & III for allocation of capital to operations risk
  • Compare and contrast the three Basel III measurement methodologies for operational risk
  • Construct a core theoretical quantitative/qualitative mix of statistical and business process management methods for the management of operations risk at a banking institution
  • Compare and contrast advantages and challenges in the Basel II implementation
  • Apply the concepts and skills attained during the course to work in groups and frame solutions for real-life case studies involving operations risk

outline/topics

Day 1

Day 1

Day 1

  • Risks Facing Financial Institutions
    • Key risk terminology
    • Financial risks that led to the Basel Accord, Basel II and Basel III
  • Overview of Basel II and III
    • Framework of Basel II and III
    • Overview of the three pillars and their purpose
    • Application to credit, market and operations risk
    • Basel II’s scope of application
    • Interconnectedness of Basel’s three pillars
    • Differentiation among Basel I, II, and III
    • Regulatory expectations of Basel III
    • Regulatory challenges in implementing Basel III
    • Bank expectations from Basel III
  • Identifying Operational Risk
    • Operational risk defined
    • Contributing factors to lag in responding to operational risk
  • Pillar I and Measuring Operational Risk
    • Key concepts in Pillar I
    • Components of capital
    • Why did BIS choose this definition?
  • Application of Pillar I to operations risk
  • Methodologies recommended by Basel III
    • Basic Indicator Approach
    • Standardized Approach
    • Advanced Measurement Approaches (AMA)
  • Challenges and best practices

Day 2

Day 1

Day 1

  • Monitoring Operations Risk
    • The role of monitoring operations risk
    • Best practices for monitoring operational risk
  • Pillar II and Operations Risk
    • Key concepts in Pillar II
    • Application of Pillar II to operational risk
  • Pillar III and Operations Risk
    • Key concepts in Pillar III
    • Application of Pillar III to operational risk
  • Implications of and Compliance with Basel III
    • US readiness to comply with Basel III
    • Competing views on the purpose of Basel III
    • Concerns from different countries about readiness to comply
    • How the current crisis is influencing regulators to change Basel III
    • Proposed changes to Basel III

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

basel III: Credit risk management

Basel III is a requirement for most large, global banks. This course is designed for private sector practitioners and bank regulators who already have a basic familiarity of Basel II and III.  The program’s agenda provides a comprehensive study of Basel III’s credit risk requirements and an overview of market and operational risk requirements.  Significant attention is devoted to Basel III’s potential impact on banks and other financial institutions globally.  The three-day program is interactive and is comprised of a lecture, case studies, and topical articles to supplement discussions of recent developments in Basel III implementation, including examples from the US, Europe, Asia, and emerging markets.



Duration: Three days

Program Level: Intermediate

Prerequisites: There are no prerequisites


Learning Objectives

  • Identify the core concepts involved in Basel II and III for allocation of capital to credit risk using the standardized and advanced approaches
  • Compare and contrast advantages and shortcomings of Basel III
  • Work out a core theoretical quantitative/qualitative mix of statistical and business process management methods for the management of credit risk at a banking institution
  • Discuss challenges in Basel III’s implementation and possible solutions to address changes
  • Apply the concepts and skills attained during the course to work in groups and frame solutions for real-life case studies involving credit risk
  • Identify additional potential changes to Basel III in the near term

OUTLINE/TOPICS

DAY 1

DAY 1

DAY 1

  • Framework and objectives of Basel III
    • Overview of the three pillars and their purpose
    • Application to credit, market and operations risk
  • Basel III’s scope of application
  • Basel III’s three pillars
  • Differentiating among Basel I, II and III
  • Regulatory expectations of Basel III
  • Regulatory challenges in implementing Basel III
  • Banks expectations of Basel III
    • Early challenges
      • Models and data
      • Cost
      • Capacity gaps
  • Overview of Pillar I
    • Key concepts in Pillar I
    • Components of capital
    • Basel III capital buffers
      • Capital conservation, liquidity standard, leverage, and SIFI charges
    • Application of Pillar I to credit risk
    • Standardized approach
      • Advanced approaches
      • Probability of default, exposure at default
    • Challenges with models and data in adopting this pillar

DAY 2

DAY 1

DAY 1

  • Minimum Capital Requirements for Credit Risk: The Standardized Approach
    • Three approaches to credit risk measurement
    • Inputs required for Pillar I approaches
    • Requirements for Standardized Approach
  • Minimum Capital Requirements for Credit Risk: Internal Rating Based Approaches
    • Key aspects and inputs of the Foundation and Advanced Internal Rating Based approaches
    • Economic capital
    • Securitization guidance under Basel III
    • Regulatory concerns about advanced approaches
    • Basel publications on differences in Risk Weighted Assets’ application globally

DAY 3

DAY 1

DAY 3

  • Pillar II and Credit Risk
    • Key concepts in Pillar II
    • Application of Pillar II to credit risk
  • Pillar III and Credit Risk
    • Key concepts in Pillar III
    • Implementation of Pillar III’s transparency elements
    • Application of Pillar III to credit risk
  • Implications of and Compliance with Basel III
    • Impact of the credit crisis on Basel III
    • US’s readiness to comply with Basel III
    • Competing views on the purpose of Basel III
    • Concerns from different countries about readiness to comply
    • Recent proposed changes to Basel III

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

BASEL III: MEASURING AND MANAGING OPERATIONAL RISK

Frequent headlines in the financial press on developments about Basel III requirements are a regular reminder about the importance of understanding the potential changes to capital regulatory requirements in the banking sector globally.  In contrast to credit and market risks, operational risk remains poorly understood and managed.  This course is designed for finance professionals who want to increase their understanding of operational risk within the Basel II framework.  The course is interactive and is comprised of a lecture, case studies, and relevant articles to supplement discussion of recent developments of Basel II implementation.



Duration: Two day

Program Level: Intermediate

Prerequisites: There are no prerequisites


Learning Objectives

  • Define operational risk
  • Identify the core concepts involved in Basel II & III for allocation of capital to operations risk
  • Compare and contrast the three Basel III measurement methodologies for operational risk
  • Construct a core theoretical quantitative/qualitative mix of statistical and business process management methods for the management of operations risk at a banking institution
  • Compare and contrast advantages and challenges in the Basel II implementation
  • Apply the concepts and skills attained during the course to work in groups and frame solutions for real-life case studies involving operations risk

OUTline/topics

Day 1

Day 1

Day 1

  • Risks Facing Financial Institutions
    • Key risk terminology
    • Financial risks that led to the Basel Accord, Basel II and Basel III
  • Overview of Basel II and III
    • Framework of Basel II and III
    • Overview of the three pillars and their purpose
    • Application to credit, market and operations risk
    • Basel II’s scope of application
    • Interconnectedness of Basel’s three pillars
    • Differentiation among Basel I, II, and III
    • Regulatory expectations of Basel III
    • Regulatory challenges in implementing Basel III
    • Bank expectations from Basel III
  • Identifying Operational Risk
    • Operational risk defined
    • Contributing factors to lag in responding to operational risk
  • Pillar I and Measuring Operational Risk
    • Key concepts in Pillar I
    • Components of capital
    • Why did BIS choose this definition?
  • Application of Pillar I to operations risk
  • Methodologies recommended by Basel III
    • Basic Indicator Approach
    • Standardized Approach
    • Advanced Measurement Approaches (AMA)
  • Challenges and best practices

Day 2

Day 1

Day 1

  • Monitoring Operations Risk
    • The role of monitoring operations risk
    • Best practices for monitoring operational risk
  • Pillar II and Operations Risk
    • Key concepts in Pillar II
    • Application of Pillar II to operational risk
  • Pillar III and Operations Risk
    • Key concepts in Pillar III
    • Application of Pillar III to operational risk
  • Implications of and Compliance with Basel III
    • US readiness to comply with Basel III
    • Competing views on the purpose of Basel III
    • Concerns from different countries about readiness to comply
    • How the current crisis is influencing regulators to change Basel III
    • Proposed changes to Basel III

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

essentials of corporate banking

This introductory course provides a detailed overview of money, banking and financial institutions. Delivered over one day, the program is designed to introduce participants to the function of the banking system and to analyze the operations of financial intermediaries and commercial banking institutions as receivers of savings and as sources of money and credit. Topics include financial intermediation, the structure, and the function and performance of the domestic and international banking system.  The day concludes with a discussion of how monetary policy is set by central banks and what the current outlook is for interest rates in the United States and abroad.



Duration: 1 day

Program Level:  Basic

Prerequisites:  There are no prerequisites


Learning Objectives

  • Distinguish between direct and indirect finance and discuss the roles of various market participants
  • Explain how banks act as financial intermediaries
  • Distinguish functions of different types of banks
  • Discuss sources and uses of bank capital
  • Identify and describe various wholesale corporate banking products and services
  • Explain features of corporate debt financing
  • Discuss risk management products offered to corporate banking customers
  • Explain the role of the central bank in determining interest rates
  • Discuss the regulatory environment for corporate

outline/topics

1 Day Program

  • Money and Banking
    • Functions of Money
    • Function of Financial Intermediaries
    • Major Elements of Domestic and International Banking Regulation
  • Commercial Banking
    • Bank Balance Sheet
    • Business Lines & Sources of Income
    • Banks as Financial Intermediaries
    • Managing Credit Risk
    • Asset – Liability Management
    • Source of Funds
    • Loan Pricing
    • International Banking and Financial Markets
  • Central Banks
    • Roles and Objectives
    • Federal Reserve
    • Bank of Japan
    • Monetary Policy
    • Deciphering a “Fed Statement”

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

advance corporate banking: managing the relationship

This course is designed to provide experienced corporate banking associates and employees tracking to become relationship managers with an intensive review and analysis of banking products and services that serve the commercial and corporate client.   Emphasizing the importance of relationship banking, the course will take a deep dive into the principal products that banks offer to their corporate customers. Through various case studies, participants will learn how each of these products addresses a unique need to the customer but is also part of an overall capital structure design.  Delivered by industry practitioners, the course will also highlight the importance of understanding the dynamic nature and influence of capital markets on decision making by corporate customers.



Duration: Two days

Program Level:  Advanced

Prerequisites:  There are no prerequisites


Learning Objectives

  • Define a corporate customer’s financing needs
  • Explain the influence of capital markets conditions on financing options
  • Describe and analyze various products that your bank could provide to a corporate customer
  • Construct a capital structure solution for a corporate client
  • Identify corporate banking needs of various customer-types
  • Construct hedging opportunities
  • Create multi-service opportunities
  • Define the role of a relationship manager

outline/topics

Day 1

Day 1

Day 1

  • Defining the clients’ needs
    • Cost of capital
    • Capital structure
    • Risk exposures
    • Risk management & active hedging
  • Capital market conditions
    • International and US equity markets
    • Central bank policy and interest rate outlook
    • Macroeconomic conditions
    • Public versus private placements
  • Types of banking relationships
    • Management expectations about a banking relationship
    • How well do you know your client
    • Initial multi-service opportunities
  • Bank Debt Funding
    • Loan Finance
    • Types of loans
    • Pricing
    • Legal issues in lending
    • Structuring elements
    • Collateral
    • Covenants
    • Syndications
    • Representations and warranties
    • Regulatory Impact
    • Regulatory capital
    • Liquidity
    • Leverage
  • Capital Market Offerings
    • Private Placements
    • Regulatory issues
    • Qualified buyers
    • Motivations
    • Bonds, Hybrids & Convertibles
    • Motivation for issuers
    • Investor appetite
    • Prepayment
    • Capital structure implications
    • Ratings and ratings implications
    • Capital providers
    • Pricing & all-in cost
    • Issuer decision making and RM influence

Day 2

Day 1

Day 1

  • Corporate Banking Services
    • Foreign Exchange
    • Assessment of customer exposure and risk
    • Hedging alternatives
    • Forward, futures and options
    • Interest Rate Derivatives
    • Interest Rate Swaps
    • Applications
    • Credit Default Swaps
  • Treasury Management
    • Function and roles
    • Cash Management & Funding
    • Asset-Liability Management
  • Asset Back Finance
    • Securitization
    • Motivation
    • Types of issuers
    • Process
    • Mortgage model
    • Receivables
    • Other assets
  • Money Markets
    • Commercial Paper
    • Market Size
    • Characteristics
    • Issuer types
  • Repos & Repo Market
    • Repo Users
    • Repo mechanics
    • Repo characteristics
  • Strategic Approach to Relationship Management
    • Understanding and identifying corporate needs
    • Designing corporate financial solutions
    • Making the case for a banking relationship

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

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