WORKSHOPS

- Register and complete the payment through the official training website.

- Upon successful registration, an invitation email—including the access link, workshop resources, and Pre- & Post-Assessment links—will be sent one day before the workshop.

The Operational Risk workshop is one of 15 technical units available as part of the Investment Operations Certificate (IOC). The unit offers an introduction to the nature of operational risk, its causes, consequences and impact and the arising of operational risk in the trade cycle and other major risks. The objective of the workshop is to familiarize participants with the causes, consequences and impact of operational Risk. In addition to the support and control functions and the operational risk in the regulatory environment.

Employees of different capital market institutions, regulators, stock exchanges and depository centers, as well as brokers and other entities related to capital markets.

Certificate of participation issued by UASA & CMA.

15:00 - 16:20 Session 1

16:20 - 16:30 Break

16:30 - 17:50 Session 2

17:50 - 18:00 Break

18:00 - 19:00 Session 3

I. Risk Basics

1. Risk in the Financial Services Industry

2. Enterprise Risk Management

II. Other Major Risks

1. The Nature of Credit Risk

2. Measuring Credit Risk

3. Credit Risk Management and Reporting

4. The Nature of Market Risk

5. Measuring Market Risk

6. Value-at-Risk (VaR)

7. Market Risk Management and Reporting

8. The Nature of Liquidity Risk

9. Measuring Asset Liquidity Risk

10. Liquidity Risk Management and Reporting

III. The Nature of Operational Risk

1. Definition of Operational Risk and Operational Risk Categories

2. Culture

3. The Risk Management Process

4. The Policy for Managing Operational Risk

5. Risk Identification / Classification

6. Setting Risk Appetite

7. Risk Assessment and Measurement

8. Risk Treatment

9. Risk Monitoring, Reporting and Governance

IV. The Causes and Impacts of Operational Risk

1. Operational Risk: Causes and Events

2. Operational Risk: Impacts

3. The Links Between Causes, Events and Impacts of Operational Risk

4. Near Miss Identification and Reporting

V. Operational Risks Arising in the Trade Cycle

1. Set-up

2. Execution

3. Pre-settlement phase

4. Settlement phase

5. Post-settlement phase

6. Asset Servicing

VI. The Support and Control Functions

1. Risk Governance

2. Middle / Back Office

3. Compliance, Financial Reporting and Regulation

4. HR, IT, Legal, and Internal Audit

5. Product Development and Marketing

6. Project Management and Change Management

VII. Operational Risk in the Regulatory Environment

1. Achieving Common Standards and Protection

2. Basel Accords