Document the approval chain for exceptions to policy on capital markets and investment banking.
Capital Markets and the Role of Investment Banks
A structured, applied course in capital markets and investment banking — designed to be used the week you return.
📍 Istanbul🗓️ 5 training days📚 4 modules🎓 Accredited certificate
5intensive training days
4scientific modules
8training sessions
32detailed points
Course Overview
Models supporting capital markets and investment banking fail quietly, and usually at the worst moment. Capital, liquidity and reputation are all exposed by weak handling of investment banking. The level assumes working familiarity with the business line but no prior formal training in the financial and banking practice discipline. The programme uses small-group work so that each participant's treatment of capital markets and investment banking is examined, not just described. It establishes a shared vocabulary for this strand of financial and banking practice so that teams can disagree productively about it. Across sectors, teams that rehearse investment banking outperform teams that only plan it. Participants gain a clear basis for measuring what capital markets and investment banking has actually achieved. A common pattern is strong design of investment banking paired with weak follow-through. Work concludes with a self-assessment of this aspect of financial and banking practice that participants can repeat annually.
Expected Learning Outcomes
Design a training and briefing approach that sustains competence in investment banking.
Align capital markets and investment banking with the wider objectives of the business line rather than optimising it in isolation.
Build the client due diligence and monitoring appropriate to investment banking.
Plan the remediation route when a weakness in capital markets and investment banking is identified.
Define the risk appetite applying to investment banking and translate it into operating limits.
Translate policy on capital markets and investment banking into procedures that hold up under day-to-day pressure.
Who Should Attend
Newly appointed managers taking on capital markets and investment banking for the first time.
Risk managers responsible for investment banking.
Relationship and product managers whose targets depend on capital markets and investment banking.
Board risk committee members overseeing investment banking.
Anyone whose accountability for capital markets and investment banking exceeds their current formal training in it.
Credit and underwriting officers assessing investment banking.
Course Modules
Capital markets and investment banking: risk appetite, limits and policy
2 sessions · 8 pointsSession 1Keeping capital markets and investment banking alive after the initial push
- Review whether capital markets and investment banking is aligned with the objectives of the business line.
- Establish what evidence demonstrates investment banking is under control.
- Set escalation thresholds for capital markets and investment banking that work out of hours.
- Build the internal briefing that explains investment banking to those affected.
Session 2The paperwork for investment banking that is actually needed
- Identify the data already collected that bears on capital markets and investment banking.
- Confirm client due diligence standards applied to investment banking are current.
- Confirm reporting on capital markets and investment banking reaches the committee that can act on it.
- Agree who signs off investment banking and record that they did.
Investment banking: regulatory obligation and supervisory expectation
2 sessions · 8 pointsSession 1Evidencing that investment banking worked as designed
- Check that records of capital markets and investment banking answer the questions likely to be asked.
- Record the rationale for each significant choice made about investment banking.
- Check the legal and contractual exposure created by capital markets and investment banking.
- Document the remediation plan for each known weakness in investment banking.
Session 2Setting a limit on investment banking that will actually be respected
- Prepare the evidence pack demonstrating capital markets and investment banking operated as designed.
- Confirm that contractual obligations around investment banking are understood.
- Benchmark the organisation's capital markets and investment banking against comparable operations.
- Review the pricing of investment banking against the risk being assumed.
Investment banking: the control framework and segregation of duties
2 sessions · 8 pointsSession 1Handling a breach of policy on investment banking properly
- Identify the key controls over capital markets and investment banking and who tests them.
- Confirm segregation of duties across initiation, approval and settlement of investment banking.
- Agree the smallest change to capital markets and investment banking that would be visibly useful.
- Review concentration by counterparty, sector and geography inside investment banking.
Session 2The assumption inside the model for capital markets and investment banking that nobody revisits
- Define acceptance criteria for capital markets and investment banking in advance.
- State the risk appetite for investment banking as a number, not an adjective.
- Translate the appetite for capital markets and investment banking into limits someone monitors daily.
- Plan the sequence in which improvements to investment banking will be introduced.
Investment banking: measurement, models and their assumptions
2 sessions · 8 pointsSession 1Pricing investment banking for the risk actually taken
- Anticipate the objections capital markets and investment banking will raise and prepare the answers.
- Check the accounting treatment applied to investment banking against current standards.
- Assess the capital consumed by capital markets and investment banking under current and stressed conditions.
- List the assumptions in any model supporting investment banking and when each was last challenged.
Session 2What has to be agreed before work on investment banking starts
- Assign responsibility for keeping documentation of capital markets and investment banking current.
- Confirm regulatory reporting on investment banking is complete, timely and reconciled.
- Arrange the handover of capital markets and investment banking so capability survives staff changes.
- Confirm that those complying with investment banking understand why it exists.
Choose the package that suits you
Silver Package
At least 3 people
USD1,250
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Gold Package
At least 3 people
USD1,850
- 5-night stay in a 5-star hotel
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Complete your registration
We will contact you within one business day to confirm.