Ryan Spendelow – CFI Education – Basel III and Risk Management

Description

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Ryan Spendelow – CFI Education – Basel III and Risk Management

Basel III and Risk Management

Learn how global banks implement the critical components of Basel III, including minimum capital requirements, along with leverage and liquidity requirements ● Describe the key objectives of banking regulatory frameworks ● Calculate regulatory capital, leverage and liquidity ratios for global banking institutions ● Source real-life data from financial reports and regulatory filings

Overview

Basel III and Risk Management Course Overview

Banking regulations are the fundamental pillar supporting stability, fairness, and trust in our financial systems. They aim to prevent reckless behavior by banks and ensure that individual customers and the broader economy are shielded from unnecessary risks.

And, to a great extent, banking regulations directly impact how banks manage all the risks they encounter as they provide their vast array of products and services to their customers.

Basel III is a global regulatory framework adopted by regulators all over the world. As such, it remains the most influential regulatory framework for banks, hugely impacting the ways banks manage their risks.

Any banking role within risk management will be impacted by the requirements of Basel III. Therefore, it is crucial for risk management professionals, both present and future, to have a sound grasp of the objectives of this framework, along with the key capital, leverage, and liquidity requirements.

Learning Objectives

• You will be able to define banking regulation, describe the primary objectives of banking regulation, and list the key global regulators are in the banking industry.
• You will be able to calculate the levels of regulatory capital a bank holds and determine if this exceeds the minimum amounts set out under Basel III.
• You will identify the liquidity and leverage requirements of Basel III and determine if banks are above their specified minimum levels.
• While we focus on Basel III during this course, you will also become familiar with other impactful regulatory frameworks that affect today’s banking industry.

Who Should Take Basel III and Risk Management?

This course is ideal for any banking professional currently working in or seeking a career in risk management. It is also suitable for banking professionals working in compliance, internal audit, finance and investor relations that want to enhance their knowledge of Basel III.

What you’ll learn

Course Introduction

Course Introduction

Learning Objectives

Download Course Materials

Regulation Around the Globe

Bank Regulators and Banking Regulations

Poll Question 1

Poll 1

What are Banking Regulations

Interactive Exercise 1 | Introduction

Interactive Exercise 1

Objectives of Banking Regulations

Interactive Exercise 2 | Introduction

Interactive Exercise 2

Interactive Exercise 2| Solution

Regulators in the U.S.

Interactive Exercise 3 | Introduction

Interactive Exercise 3

Regulators in the UK

Regulators in Europe

Interactive Exercise 4

Regulators in Asia

Interactive Exercise 5

Basel III and Capital Requirements

A Banks Balance Sheet

Interactive Exercise 6

Interactive Exercise 6 | Solution

Bank of America Balance Sheet | Assets

Bank of America Balance Sheet | Funding

Why Do Banks Hold Capital

Risky Bank

Risky Bank | Excel Exercise

Poll 2

The Impact of Leverage

Interactive Exercise 7

Interactive Exercise 7 | Solution

Basel III

Common Equity Tier 1

Additional Tier 1 Capital

Deeper Dive | Additional Tier 1 Bonds

Tier 2 Capital

Interactive Exercise 8

Risk Weighted Assets

Risk Weighted Assets | Bank of America and Barclays Template

Risk Weighted Assets | Continued

Minimum Capital Ratios

Minimum Capital Ratios | Excel Example

Minimum Capital Ratios | Check-in

Minimum Capital Ratios | Excel Example Continued

Minimum Capital Ratios | Conclusion

Interactive Exercise 9

Interactive Exercise 9 | Solution

Capital Conservation Buffer

Global Systematically Important Banks

Poll Question 3

Poll 3

Global Systematically Important Banks Criteria

Countercyclical Buffer

Interactive Exercise 10

Comprehensive Capital Analysis and Review

Bank of America Regulatory Ratios

Other Basel III Requirements

Structure of Basel III

Basel III Objectives

Measuring Leverage

The Leverage Ratio

Interactive Exercise 11

Leverage Ratio for US Banks | Part 1

Leverage Ratio for US Banks | Part 2

Leverage Ratio for US Banks | Part 3

Leverage Ratio for US Banks | Part 4

Leverage Ratio for European Banks | Part 1

Leverage Ratio for European Banks | Part 2

Leverage Ratio for European Banks | Part 3

Leverage Ratio for UK Banks | Part 1

Leverage Ratio for UK Banks | Part 2

Leverage Ratio for UK Banks | Part 3

Liquidity | Northern Rock

Basel III – Liquidity Coverage Ratio (LCR)

Liquidity Coverage Ratio

Interactive Exercise 12

Interactive Exercise 12 | PDF Walk-through

Interactive Exercise 12 | Solution

Basel III – Net Stable Funding Ratio (NSFR)

Calculating ASF & RSF

Calculating NSFR

Case Study

Case Study Introduction

Dodd Frank

Volcker Rule

MiFID II

Case Study Questions

Course Summary

Course Summary

Download Exercise Solutions

Qualified Assessment

Qualified Assessment

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