The banking Academy
The Asian Banker Diploma in Compliance for Financial Institutions
19 - 21 September 2012
Venue to be confirmed,, Singapore
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Ensure watertight compliance to developing regulation across all areas of your financial institution to successfully increase your competitive advantage 



Ensure watertight compliance to developing regulation across all areas of your financial institution to successfully increase your competitive advantage

As an unsurprising result of the financial crisis, the financial services industry globally has seen itself the target of an avalanche of regulation to try to ensure that the circumstances for the near-meltdown which we experienced will never happen again. The global and public anger aimed at the banking sector means that non-implementation of every piece of legislation is not an option. Should, however, any aspect of the developing sets of regulation being devised not be complied with, the consequences for the financial institution concerned can be potentially catastrophic. Disasterous in terms of not only monetary fines, but also in terms of damaged reputation, naming and shaming and also lack of overall competitivity.

Basel III is one of the most talked about sets of regulatory guidelines with which banks globally need to comply. However, the regulations are being published at national, regional and global levels and affect an organisation’s operations differently according to whether the activity under scrutiny is within national frontiers or instead is cross- border. As financial institutions carry out more and more of their activities on a cross-border level, the complexities of the compliance function become more and more difficult to master. Again, non-compliance for an aspiring leading international banking playeris not an option.

The Asian Banker has designed a comprehensive training programme to equip senior bank management with the information necessary for effective implementation of a watertight compliance framework across all functions and product lines of the organisation.

Through careful dissection of every element of the complex compliance function, attendees will come away with a profound understanding of the multitude of constantly developing threats to a financial institution’s corporate infrastructure and integrity and will be equipped with the practical knowledge of how to meet these challenges.

The format of this 3-day intensive training course will be a mixture of interactive exercises and scenarios, group discussions, real case studies, focused tuition, and practical problem-solving.

Under scrutiny will be the evolving nature of risk in all of its forms, from credit and counterparty risk to threats related to fraud, systemic failures and overall reputational concerns. Risks related to non-compliance will also be heavily featured as will strategies for the strengthening and development of the compliance function on an enterprise-wide level.
• Each section of this comprehensive programme will be supported by individual and group exercises and case studies

• Limited class size: Class size is limited to 30 delegates to ensure effective one-to-one interactivity
This programme is designed to achieve the following goals:
• Manage the changing role of the compliance function from a cost burden to a revenue-generating entity
• Explore and meet the challenges in effectuating a holistic implementation of Basel III requirements across your organisation
• Establish watertight compliance to the Basel III guidelines for liquidity risk measurement, standards and monitoring
• Develop an integrated enterprise risk management framework as an integral part of your risk compliance strategy
• Ensure watertight compliance to increased requirements for effective corporate governance in the financial institution
• Implement an effective compliance framework to mitigate fraud across all business functions, products and services
• Mitigate and manage the technology threats to your organisation’s activities
Directors, Heads & Managers responsible for:
• Compliance
• Risk
• Basel III
• Regulation
• Corporate Governance
• Internal Audit
Day 1 
0830-0900 Registration
0900 Managing the changing role of the compliance function from a cost burden to a revenue-generating entity
• Understanding what is meant by compliance risk
• The increasingly important role of risk and compliance in the corporate strategy and decision-making of today’s financial institution
• The importance of developing an in-depth knowledge and understanding of what is going on across the organisation
• Successfully communicating the strategic and business value of compliance to stakeholders
• Ensuring a clear correlation between good risk and compliance with staff incentives to achieve company-wide buy-in
• Instilling individual accountability across all functions and levels and promoting ownership
• Clearly communicating to senior management the changing role of compliance risk management and its direct correlation with company revenue generation    and profitability
• Effectively using tangible business metrics to demonstrate the link between compliance risk, competitive advantage and profit
• Utilising your success in risk management and compliance to boost your reputation and brand
• Successfully transforming the compliance mindset and culture to be more commercially aware
• Determining the cost of non-compliance
Interactive discussion on the increasingly business-led role of the compliance function
  Coffee break
  Gaining a thorough understanding of the complex Basel III regulatory regime to ensure watertight compliance across your organisation
• Establishing a framework for company-wide awareness of timelines for Basel III compliance
• Countercyclical capital buffers: What do the regulators demand from the banks?
• Compliance to new Basel III risk modelling and stress testing demands
• Counterparty risk mitigation and CVA: What does Basel III regulation demand from your organisation?
• A scrutiny of the new Basel III definitions of capital and capital quality and the implications for your institution’s capital allocation and management    framework
Compliance to the Basel III guidelines for liquidity risk measurement, standards and monitoring
Examining the implementation Basel III timeframe globally
   - Identifying the challenges
• Gain a better understanding of important metrics, such as:
   - Methodologies for calculating Liquidity Coverage Ratio (LCR)
   - Composition and stock of ‘high quality liquid assets’
   - Establishing total net cash outflows
   - Net Stable Funding Ratio (NSFR)
   - What exactly constitutes ‘stable funding’?
   - Contractual maturity mismatch
   - Pricing your liquidity needs
   - Stress testing your liquidity framework
1230-1400 Lunch
 1400 …continued
• How will banks be appraised by both regulators and ratings agencies in the new Basel III environment?
   - Capital
   - Risk management
   - Liquidity and funding
• Examining the implications of Basel III on your organisation’s funding requirements and activities
• Effectively mitigating the risk of concentration of funding
Case studies and practical exercises:
Determination and identification of ’high quality liquid assets’
Determination and identification of ‘stable funding’
Calculation of Liquidity Coverage Ratios
Calculation of Net Stable Funding Ratios
  Tea break
  Establishing and maintaining an enterprise-wide understanding and culture of compliance to risk regulatory requirements
• Mitigating silo-thinking as an important operational risk
• Exploring the benefits of risk integration / convergence
• Accurately assessing inherent risk
• Establishing dynamic and responsive risk controls
• Maximising communication and interaction between risk functions
• Improving cooperation between risk, compliance and audit
• Successfully integrating corporate legacy systems and data gathering and management infrastructure
• Clear redefinition of risk and compliance roles and responsibilities throughout the organisation
• Compliance risk assessment: Establishment and implementation
   - KRIs
   - Regulatory demands
   - Testing and monitoring your risk assessment framework
Interactive discussion on the day’s proceedings and recap on the most important lessons learnt
1700 End of Day One

Day 2
0830-0900 Registration
0900 Compliance to increased requirements for effective corporate governance in the financial institution
• An in-depth analysis of what aspects of corporate governance failed during the financial crisis
• What lessons have been learnt?
• Establishing and embedding a compliance culture across the business
• Outlining the increased demands for board and senior management accountability, transparency and clear reporting standards
• How effective are your internal risk controls?
• Identifying and addressing conflicts of interest
• Implementation of improved KRIs across the organisation
• Basel III guidelines for a restructuring of the whole system of compensation
   - Highlighting the need to crystallise the relationship between compensation, profit and risk
Strengthening your compliance framework across all aspects of your lending activities
• Credit scoring
• Document processing
• Validation
• Mitigating fraud
• Ethical lending concerns
• Compliance with ever-increasing regulation regarding Know-Your-Customer including Anti Money Laundering requirements
• Reliance – when do we accept the identification and verification of another institution?
Practical exercises for auditing your organisation’s level of corporate governance
  Coffee break
  Strategies for the effective and transparent reporting of compliance across the organisation
• Successfully providing a transparent and easy-to-digest report on performance to the Board as well as executives, lines of business, and other stakeholders.
• Ensuring there is a natural and comprehensive flow of information to the top without overwhelming or under-informing
• Establishing and demonstrating a clear connection from compliance to senior management to board
• Company-wide buy-in to risk reporting
• Detailing the impact of developing fraud regulation on the board itself and in managing the board
• Defining the extent of directorial liability
• Effectively demonstrate the extent of compliance performance in support of regulatory initiatives
• Data presentation
• Data formatting
Best practice case studies for compliance reporting with a special emphasis on how best to explain the regulatory changes and how they impact the
operations of your organization
1230-1400 Lunch
 1400

Ensuring compliance to fraud mitigation procedure and regulation across all business functions, products and services
• Determining the make-up of potential internal fraudsters
• How are we detecting the warning signals?
• What sort of crimes are liable to be committed internally?
• What is their impact on the institution?
• What working environments breed fraud? How can this be mitigated?
• How does bad management create fraudulent behavior? What are we doing to combat this?
• Outlining the threats:
   - Rogue trading: Learning from high-profile cases
   - Skimming and phishing
   - Concealed liabilities, off-balance items and creative accounting
   - Major capital expenditure/mergers and acquisitions/due diligence
   - Accounting system fraud
• Investment and advance fee fraud
   - Ponzi schemes
   - Fraudulent activities in hedge funds
   - Product mis-selling
• Overcoming the particular challenges related to detecting top management frauds
• Difficulties of reporting top management fraud
Practical exercises for an integrated report on fraud risk across the entire organization

  Tea break
 1545 Effective risk assessment and reporting of the external fraud threats to your organisation
• Use of scoring checklists in customer vetting
• Verification techniques for customer vetting
• Appraising computer and general IT-based fraud
   - Internet hacking
   - Internet scams
• ATM attacks
• Asset financing and loan frauds
• Developments in identity theft and fraud
• Credit card fraud
• Insurance claim fraud
• Counterfeiting
• Growing cross-border threats of fraud
• AML concerns
Interactive discussion on the day’s proceedings and recap on the most important lessons learnt
1700 End of Day Two


Day 3
0830-0900 Registration
0900 Business continuity and disaster recovery: Compliance to increasingly stringent regulatory demands
• An overview of recent events and the lessons learnt
• Evolution of BCP regulatory requirements
• Effective and realistic scenario planning
• Mitigating IT risk
• Business impact analysis
• Business continuity plan testing
• The crisis management team: How ready and organised is it?
• Crisis communications: Ensuring preparedness to effectively mitigate and manage reputational risk
• Fostering close cooperation with the risk function
• Promoting company-wide awareness of your organisation’s business continuity plans and strategy
Mitigating and managing the fast-moving technology threats to your financial institution’s activities
• Determining the IT threats to your institution and effectively balancing these with your business needs
• Protecting against the increasing threats to systems failure
• Programming error mitigation
• Mitigating telecommunication failures
• E-Compliance to continuously developing regulatory requirements
• Developing technology to mitigate risk
Practical exercises for the formulation of a watertight Business Continuity Plan
  Coffee break
  Ensuring watertight compliance across the evolving organization before, during and after M&A activity
• Ensuring due diligence at all levels of preparation in the lead up to acquisition / merger
• Identifying potential deal breakers and hidden ‘surprises’
• Understanding the full risk profile of both organisations and how these can be effectively brought together
• Compliance to regulatory demands in existing and new jurisdictions post M&A
• Best-practice in ensuring smooth integration of all functions across the new organisation
• Integration of compliance functions and procedures: Mitigating friction and duplication whilst retaining best practice from both sides
Interactive discussion on threats to your compliance framework during a merger or acquisition
1230-1400 Lunch
 

Managing and retaining your compliance talent in a competitive environment
• Compliance talent engagement and retention in a dog-eat-dog market
• Establishing clear career pathing
• Devising assessment criteria to identify the talent with the most desirable blend of both commercial and risk awareness
• Nurturing and developing the an environment where competitiveness and risk mitigation can live comfortably and profitably together
• Embedding a culture of interactive internal training and improvement to maintain motivation
• Calculating the true value of education and demonstrating ROI to senior management
Interactive discussion on the day’s proceedings and recap on the most important lessons learnt

  Tea break
  An overall round-up and focus on the key features of the of the proceedings of the thrre days
1700 End of Programme

Dr Ulysses Chioatto is a lawyer, organisational consultant and an expert in Governance, Risk and Compliance Management across industries; especially financial services. He has over twenty five years experience in senior management roles. In particular, he has led and conducted over 300 corporate operations reviews assessing regulatory and other legislative requirements.

Dr Chioatto is a former Asia Pacific Director in Deloitte’s Enterprise Risk Services division where he advised clients such as: BHP Billiton, Westpac Bank; MLC, National Australia Bank, Commonwealth Bank of Australia, Microsoft, BNP Paribas, BNY Mellon, RBC Dexia, Hong Kong Monetary Authority, Monetary Authority of Singapore, ANZ Bank and many more. He is currently writing a book on Corporate Governance, approved by the publishing board of Thomson Reuters, with Professor Michael Adams, Dean of Law at UWS, as co author. Moreover, he is regularly quoted in the media on regulatory compliance problems facing the banking industry,

Dr Chioatto is a Doctor of Business Administration ~ UniSA with PhD credits from University of Sydney and University of New South Wales

This is one of the best designed diploma programmes to equip Asian financial institutions with the necessary expertise for effective implementation of a watertight compliance framework across all functions and product lines of the organization.

Register today by completing the registration form below or contact Mr Gerald Rubio tel: +65 6236 6514or email grubio@theasianbanker.com for more information.

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What previous attendees say:

"This course is very good. I like it as the group is small. It's easy to communicate and share thoughts"
Manager, Consumer Portfolio Analytics & Reporting, OCBC