Bank Internal Audit School Agenda

Seminar: ID# 1003571

Agenda

• How To Audit A Bank
  • Planning
  • Materiality
  • Risk Appetite
  • The Risk Assessment Exercise
  • Fraud And Money Laundering Deterrence Responsibilities
  • The Relationship To External Audit
  • Home/Host Regulation
  • Branch And Representative Office Audits
  • Introduction To The Basel Accord
  • Case Study/Exercise: Preparing An Audit Planning Memorandum
• Deposits And Deposit Taking
  • How Are Banks Funded
  • Current Accounts
  • Deposit Accounts
  • Retail Funding
  • Customer Identification
  • The Customer Recording Process
  • Payments In And Out Of Deposits
  • Dormant Accounts
  • Notice Accounts
  • Reporting Deposits
  • Key Risk Issues Within Deposits And Deposit Taking
  • Case Study/Exercise: Developing An Audit Program For Deposits And Deposit Taking
• Funds Transmission And Clearing Services
  • Payment Mediums
  • Bulk Paper Clearing
  • Cash And Debit Cards
  • Credit Cards
  • Internet Banking
  • ATM Machines
  • SWIFT And International Payments
  • Case Study/Exercise: Developing An Audit Program For Funds Transmission And Clearing Services
• Personal Lending
  • The Customer
  • Connected Lending
  • Overdrafts
  • Personal Loans
  • Mortgage Lending
  • Retail Customer Analysis
  • Credit Scoring
  • Using External Agencies
  • Knowing Your Customer
  • The Drawdown Process
  • Reporting Personal Lending
  • Case Study/Exercise: Developing An Audit Program For Personal Lending
• Corporate Lending
  • The Customer
  • Connected Lending
  • The Credit Application
  • Rating Agencies
  • Project Finance
  • Structured Lending
  • Sovereign Debt
  • Reporting Corporate Lending
  • Case Study/Exercise: Developing An Audit Program For Corporate Lending
• Security And Provisioning
  • Introduction
  • Fixed Charges
  • Floating Charges
  • Guarantees
  • Mortgages
  • Provisioning
  • Case Study/Exercise: Developing An Audit Program For Security And Provisioning
• Trade Finance And Finance Of Trade
  • Trade Finance Defined
  • Bills Of Exchange
  • Promissory Notes
  • Export Credits
  • Factoring And Forfeiting
  • Invoice Discounting
  • Case Study/Exercise: Developing An Audit Program For Trade Finance And For Finance For Trade
• Branch Banking
  • Which Roles Are Conducted At Branches
  • The Nature Of The Audit Work To Be Conducted
  • Reviewing Branch Records
  • Human Resources Issues
  • Compliance Issues
  • Reporting And Management
  • Case Study/Exercise: Developing An Audit Program For A Retail Bank Branch
• Private Banking
  • The Services Of A Private Banker
  • Asset Management
  • Offshore Bank Accounts
  • Politically Exposed Persons
  • Key Risks In Personal Banking
  • Case Study/Exercise: Developing An Audit Program For Private Banking
• Investment Banking
  • Long- Finance
  • Venture Capital
  • Debt Financing
  • Underwriting
  • Structured Finance
  • Due Diligence Processes
  • Documentation And Liability
  • Income Generation
  • Case Study/Exercise: Developing An Audit Program For Investment Banking
• Dealing And The Dealing Room
  • The Difference Between The Trading Book And The Banking Book
  • The Deal Process
  • Telephone Dealing
  • Electronic Dealing
  • Controls And The Control Environment
  • The Basel Rules On Operational Risk
  • Compliance And General Conduct
  • Case Study/Exercise: Developing An Audit Program For Dealing And The Dealing Room
• Foreign Exchange
  • Calculating Foreign Exchange Rates
  • The Foreign Exchange Market
  • The Language Of Foreign Exchange
  • Spot Rates And Cross Rates
  • Systems Of Accounting
  • International Accounting Standards
  • Principles Of Valuation
  • Case Study/Exercise: Developing An Audit Program For Foreign Exchange
• Forward Contracts
  • Calculating Forward Foreign Exchange Rates
  • Advantages And Disadvantages
  • Positions And Hedging
  • Spot And Forward Transactions
  • Principles Of Valuation
  • Forward Rate Agreements
  • Forward-Forward Contracts
  • International Accounting Standards
  • Case Study/Exercise: Developing An Audit Program For Forward Contracts
• Futures And The Futures Market
  • Introduction To Financial Futures
  • Futures Exchanges
  • Types Of Futures Contracts
  • Quotation Of Futures Contracts
  • Margin Accounting
  • Confirmation And Control
  • Case Study/Exercise: Developing An Audit Program For Futures And The Futures Market
• Options And The Options Market
  • Introduction To Options
  • Types Of Options Contract
  • Premiums, Margin And Exercise
  • Option Terms
  • Option Payoffs
  • Confirmation And Control
  • Case Study/Exercise: Developing An Audit Program For Options And The Options Market
• Swaps And The Swaps Market
  • Interest Rate Swaps
  • Currency Swaps
  • Credit Derivatives
  • Weather Derivatives
  • Advantages Of Swap Structures
  • Pricing A Swap
  • Credit Risk And Collateral
  • ISDA Documentation
  • Hedging And Hedge Accounting
  • Control And Confirmation
  • Case Study/Exercise: Developing An Audit Program For Swaps And The Swaps Market