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Government deregulation, rapid-fire mergers, acquisitions, consolidation, globalization and convergence are reshaping the financial services industry. Risks such as market, credit, operations, counter-party, accounting, regulatory/legal, reputation, sales practices and staff will be addressed. Topics include asset management, corporate finance, institutional sales and trading, product risk, risk arbitrage, stock loan business and underwriting.
| Topics include: |
• Definition and history of risk
• Key types of risk
• Managing risk through Asset/Liability Management, Capital Allocation, and Portfolio Risk Management |
• Risk measures, including Net Present Value and Value at Risk
• Risk regulations and capital adequacy |
| Benefits of attendance: |
• Examine how to limit exposure in processes
• Identify types of risk
• Improve ability to analyze risk |
• Learn about risk mitigation techniques
• Review the role of technology to counter risk
• Understand the impact of risks |
| Staff from the following areas should attend: |
• Information Technology
• Internal Audit
• Middle Office |
• Operations
• Prime Brokerage
• Risk Management |
Basics of the Securities Industry program or equivalent experience preferred |
