Surveillance, Risk Management and Securities Settlement


Surveillance, Risk Management and Securities Settlement have emerged as critical factors for successful functioning of stock exchanges in the background of growing integration of domestic markets with global finance and also harmonization of best practices in securities markets. The program is envisaged to explain various facets of Surveillance, Risk Management and Securities Settlement and equip the participants with assessing, monitoring and managing these aspects with greater efficiency and efficacy.

Introduction to Risk Management
  • The risk management framework
  • Overview of different types of risk
  • Current trends in Capital Markets

  • Credit Risk Management
  • Defining credit risk
  • Counterparty risk
  • Default risk
  • Settlement risk
  • How collateral management can help reduce risk
  • Describing the credit rating process

  • Market Risk Management
  • Defining market risk
  • Identifying risk sensitivity
  • Liquidity
  • Volatility
  • Managing Risk using VAR method
  • Stress Testing

  • Operational Risk Management
  • Defining Operational Risk
  • Assessing various ways to monitor ad control operational risk
  • How to integrate market risk with operational risk

  • Risk Measurement Tools
  • Historical Simulation
  • Variance from mean
  • VAR

  • Identifying Areas to Effectively Implement Manage and Control Risk
  • Integration of online monitoring with offline monitoring
  • Case Study of major market movements
  • Capital adequacy norms

  • Clearing an Settlement Procedures
  • Settlement cycles
  • Margins and Margining Management
  • Collateral Management
  • Risk Management through use of Trading Platforms

  • Inspection
  • KYC Norms
  • Risk Management profile of clients
  • Process Audit
  • Market Intermediaries, Risk Management Professionals, Surveillance Personnel, Compliance Officers, Financial Institutions, Corporate, Banks, Investment Consultant, Portfolio Managers etc.

    2 days
    10.00 am to 5.30 pm

    Rs. 10,000.00 + Applicable Taxes per participant inclusive of tuition fees, and (morning / evening) refreshments only.

    For further details regarding contents,