Front to Back Process

Structure of an investment bank, staff functions (with revision of regulatory constraints)
  • Front Office
  • Sales people
  • Traders
  • Middle Office.
  • Transaction recording
  • Calculation and monitoring of P&L and risk
  • Back Office: products
  • Risks
  • Accounting
  • Transversal systems: third-party, price and rate references
  • Client services (treasury pooling, etc.)
International processing: using dedicated legal structures (Securities, Agencies, SPVs, Funds…)
  • Advantages of each structure
  • Specific features
  • Associated risks
  • Organisational impact
Administrative and organisational procedures
  • Booking entities
  • Processing entities & hubs
  • Centralised structure vs. local structure
  • Back-to-back
  • Constraints of different types of organisation
Correlations, consolidation
  • Practical studies:
  • Using sample products, choose the best booking and processing structures for the bank’s objectives
Principles of processing a transaction
  • Know your customer (KYC)
  • Negotiation
  • Validation
  • Confirmation
  • Principles
  • Target Fed
  • Compensation
  • Payments and settlement / delivery
  • Corporate actions
  • Collateralisation
  • Valorisation, accounting
  • Fails monitoring
  • Database management
  • Calculating and monitoring P&L
  • Practical workshop
  • Process various products
Operational risks

  • Know the different roles of the key players in investment banking
  • Understand the global function of an investment bank
  • Know the different organisation modes: market-deal processing and booking (local, centralised, etc.), transversal processes and systems...
  • Apply these structures to concrete examples
  • Know the principles of processing various types of transactions
  • No prior knowledge required
  • Understand how an investment bank functions
  • Grasp all possible structures
  • Understand the consequences of different structures and information systems
  • Middle and back office
  • Organisation, MOA
  • IT staff
  • IT consultants
  • Internal controls, audit
  • Human resources
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