Course description
Delegates
This course will be of particular benefit to compliance officers and to administration and operations staff in the financial services industry, who need to understand the principles and significance of risk management and control, without analysing market risk or portfolio sensitivity in detail. It will also be very helpful to managers within financial services companies, and to their financial advisers.
Overview
This one-day course aims to explain the legal and compliance background to risk management, before considering in a non-mathematical way the core principles and processes of managing risk. Case studies will be used throughout and the emphasis of the course is on developing a comprehensive understanding of the subject.
Learning outcomes include obtaining a greater understanding of:
- Legal Background and Corporate Governance Issues
- Compliance
- Company Law
- FSMA
- Sarbanes-Oxley
- Combined Code
- FCA Requirements
- Strategy and Business Risk
- Management Reporting and Balanced Scorecards
- KPIs and KRIs
- Risk Appetite and Risk Control Structures
- Management of the Components of Risk
- Credit risk
- Operational risk
- Market risk
- Other (e.g. liquidity, legal, etc.)
- Examples of Poor Risk Management in the Financial Services Industry
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