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Table Of Contents
Table Of Contents - Bank Internal Audit School
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
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