Aims:
A 2-day intensive course on business continuity and scenario planning focused on the banking/ financial institution environment with a view to provide banking professionals with a firm foundation of the standards of best practices in the critical area of business continuity planning.
The Basel Accords have raised the profile of operational risk. There are a range of challenges within the accords where financial service firms need to consider a wide range of complex issues including events that have not happened yet. One of the most crucial objectives of management is to learn how to deal with the new requirements with regard to business continuity planning.
Business continuity planning is the process through which an organization ensures the maintenance or recovery of operations, including services to customers, when faced with disruptive events such as natural disasters, technological failures, human error or terrorism.
This course includes 3 detailed business continuity case studies and an interactive section on developing effective scenarios.
Business continuity is an ongoing priority for financial industry participants. Acts of terrorism over the past decade in New York, London, Istanbul, Madrid and elsewhere, outbreaks of Severe Acute Respiratory Syndrome (SARS) and the Avian Flu, and various widespread natural disasters such as the 2011 Japanese Earthquake, Tsunami & Nuclear Power Plant Failure, the 2004 Asian Tsunami and Hurricane Katrina, have served to heighten that priority by underlining the substantial risk of major operational disruptions to the financial system.
Learning Objectives:
Financial authorities and financial industry participants have a shared interest in promoting the toughness of the financial system to major operational disruptions. This interest is the result of many factors, including:
- The vital role that financial intermediation plays in facilitating and promoting national and global economic activity by providing the means for making and receiving payments, for borrowing and lending, for effecting transactions, for insuring risks, and for raising capital and promoting investment
- The increasing complexity and operational risk across financial systems.
- The concentration of clearing and settlement processes in most financial systems.
- Deepening interdependencies among financial industry participants within and across jurisdictions.
- The recurring pattern of natural disasters or extreme weather conditions.
- The possibility of terrorist or other malicious attacks targeted, directly or indirectly, at the infrastructure of the financial system.
- A strong interest in maintaining public confidence in financial systems.
Participants will be able to identify potential risks and their impact as well as to prepare and implement action plans dealing with the business continuity recovery process in their own institutions as well. A key tool in this process is scenario planning.
Who Should Attend?:
This course intended for executive management, senior personnel and operational staff who are responsible to ensure that business continues in their respective business unit/division/branch/industry infrastructure in the event of any emergency, unexpected or extensive disruptive circumstances. Some of the positions that will benefit include:
- Operations Managers
- Risk Managers
- Internal Auditors
- Business Continuity Practitioners
Methodology:
This is a highly interactive course comprised of PowerPoint presentations, case studies, multidirectional discussions and exercises.
Course Outline:
Day One (8:30 AM – 4:30 PM) | Day Two (8:30 AM – 4:30 PM) | ||
Registration Process: 8:30 AM – 9:00 AM Session Start Time: 9:00 AM
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Meet Your Instructor
Stanley Epstein Banking, Payments, Operational Risk & Back Office Specialist and Bank Trainer Stanley Epstein has had extensive experience in banking and IT specifically the operations, payments, RTGS and the operational risk aspects of banking in the UK, Europe, the USA, Australia and Southern Africa. His bank-operations, payments systems, operational risk and clearing house experience is wide ranging and includes working closely with organisations such as UNCITRAL, Deutsche Bank and CHIPS in New York; APACS, British Bankers Association, CLS and Barclays Bank in London; Crédit Agricole in France; UBS and Credit Suisse in Switzerland, the central bank in the Netherlands; Alpha Bank in Greece; the central bank in Romania; the central bank in Kazakhstan; Bank Leumi and the central bank in Israel; the Standard Bank, Clearing Bankers Association; Bankserv and the central bank in South Africa and ANZ and Commonwealth Bank in Australia. Commencing his career at the Standard Bank of South Africa he gained a thorough grounding in all aspects of banking ranging from the bank’s branch system, back-office payments processing. He was also closely involved in the development of electronic banking at the Standard Bank. At a banking industry level he was involved in the creation and development of STRATE (Central Securities Depository in South Africa dealing with the dematerialization, clearing and settlement of all financial instruments in that country. He also served as Vice Chairman of the South African Clearing Bankers Association’s ERAG Group (an interbank payments/operations risk initiative established to identify & eliminate operational, legal and other risks in electronic payments) and later as Chairman of the Payments Association of South Africa Operational Risk Committee. On leaving South Africa he joined Fundtech Corporation, a leading provider of financial technology based in the US. Stanley has a Master’s degree in Economics which he earned with a dissertation on Financial Innovation and a Bachelor of Commerce degree in Accounting. |
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Payment:
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Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $200 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days before the start date of the event.
On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($200) will be transferred to any future ComplianceOnline event and a credit note will be issued.
Substitutions may be made at any time. No-shows will be charged the full amount.
We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.
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Testimonials
This was a well-organized event. The speaker was very informative and the seminar was covering great real life examples that kept everyone engaged. ComplianceOnline is very helpful and it has a professional approach in conducting regulatory trainings.
- Third Party Vendor Management Lead, JPMorgan Chase
The seminar was very informational and the material is very useful in implementing risk assessment program in organizations.
- Cash Management Operations Assistant Manager, Flushing Bank
Instructor was highly knowledgeable and the subjects were well chosen.
- Audit Supervisor, Flushing Bank
Speaker did a great job and topics related to operations risk structures and frameworks were highly useful.
- Manager, Discover Home Loans, Inc.
This was a very informative seminar. The presenter had thorough knowledge on the subject. He was providing good examples on each topic as he went through the program.
- Deposit Operations Manager, AVP, Flushing Bank
It was a good introduction into risk assessment.
- AVP, Risk Management, MB Financial Bank
Presenter was very knowledgeable on the topic.
- Assistant Vice President/Branch Operations Team Leader, Flushing Bank
Real world examples discussed during the seminar was beneficial.
- VP of Operations, Southwest Securities
This seminar was very informative and the speaker was very knowledgeable. Case studies discussed were highly useful.
- Assistant Security Officer, Flushing Bank
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