Finance and Banking

Managing Private Placement Deals for Institutional Investors

A working programme in private placement transactions for managers who have to deliver with existing resources.

  • 5training days
  • 4modules
  • 8sessions
  • 32topics
View packages and pricesCourse outline
Managing Private Placement Deals for Institutional Investors
5days

About the programme

Course Overview

In finance the difference between a healthy position on private placement transactions and a dangerous one is often a single assumption. Growth built on poorly controlled this aspect of financial and banking practice reverses faster than it accumulated. It treats this part of financial and banking practice as an operating discipline and equips participants to run it as one. Across sectors, teams that rehearse private placement transactions outperform teams that only plan it. Most organisations already have a policy on this aspect of financial and banking practice; far fewer can show it working. Participants test their assumptions about the practice within financial and banking practice against scenarios designed to break weak ones. Participants finish able to explain private placement transactions to a non-specialist audience without losing precision. Participants come from operational and oversight roles, and both perspectives on this part of financial and banking practice are used deliberately. Participants leave with a first-ninety-days plan for the financial and banking practice discipline rather than a set of notes.

Expected Learning Outcomes

  • Review contracts and agreements for the obligations they create around private placement transactions.

  • Establish the segregation of duties required around private placement transactions.

  • Agree the first three actions on private placement transactions that will be taken on returning to work.

  • Validate the assumptions inside any model supporting private placement transactions.

  • Set acceptance criteria for private placement transactions before work begins rather than after.

  • Document the approval chain for exceptions to policy on private placement transactions.

  • Build the audit evidence that demonstrates private placement transactions operated as designed.

Who Should Attend

  • Finance managers reporting on private placement transactions.

  • Regulatory reporting analysts covering private placement transactions.

  • Relationship and product managers whose targets depend on private placement transactions.

  • Investment and portfolio managers exposed to private placement transactions.

  • Experienced practitioners formalising an approach to private placement transactions that has grown up informally.

  • Compliance and governance staff whose remit includes private placement transactions.

Course Modules

Open any module to see its sessions and topics.

01

Private placement transactions: reporting that supports a decision

2 sessions · 8 points

Session 1Concentration building quietly inside private placement transactions

  • Check the accounting treatment applied to private placement transactions against current standards.
  • State the risk appetite for private placement transactions as a number, not an adjective.
  • Document the remediation plan for each known weakness in private placement transactions.
  • Name a single owner for each element of private placement transactions.

Session 2Comparing private placement transactions with recognised practice

  • Confirm that contractual obligations around private placement transactions are understood.
  • Build the competence framework that supports private placement transactions.
  • Prepare the summary of private placement transactions that senior management will read.
  • Test private placement transactions against a scenario the organisation would rather not model.
02

Private placement transactions: risk appetite, limits and policy

2 sessions · 8 points

Session 1Reporting private placement transactions so the reader can act on it

  • Collect evidence on the present handling of private placement transactions before proposing changes.
  • Check the legal and contractual exposure created by private placement transactions.
  • Remove steps in private placement transactions that add effort without adding assurance.
  • Confirm regulatory reporting on private placement transactions is complete, timely and reconciled.

Session 2The assumption inside the model for private placement transactions that nobody revisits

  • Close out actions on private placement transactions rather than leaving them open indefinitely.
  • Identify where judgement in private placement transactions is legitimate and where it is not.
  • Confirm client due diligence standards applied to private placement transactions are current.
  • Review the pricing of private placement transactions against the risk being assumed.
03

Private placement transactions: audit evidence and examiner readiness

2 sessions · 8 points

Session 1Closing out private placement transactions and capturing what was learned

  • Identify single points of dependency in private placement transactions and reduce them.
  • Distinguish symptoms from causes when private placement transactions underperforms.
  • Establish the boundary of private placement transactions and record what sits outside it.
  • Review whether private placement transactions is aligned with the objectives of the business line.

Session 2The early warning on private placement transactions that arrives in time

  • Confirm segregation of duties across initiation, approval and settlement of private placement transactions.
  • Agree who signs off private placement transactions and record that they did.
  • Identify the key controls over private placement transactions and who tests them.
  • Translate the appetite for private placement transactions into limits someone monitors daily.
04

Private placement transactions: exceptions, breaches and remediation

2 sessions · 8 points

Session 1The control on private placement transactions that looks strong and is not

  • Confirm reporting on private placement transactions reaches the committee that can act on it.
  • Establish what evidence demonstrates private placement transactions is under control.
  • Arrange the handover of private placement transactions so capability survives staff changes.
  • Agree what will be standardised in private placement transactions and what will not.

Session 2Moving private placement transactions from approval to execution

  • List the assumptions in any model supporting private placement transactions and when each was last challenged.
  • Assess the capital consumed by private placement transactions under current and stressed conditions.
  • Compare the cost of private placement transactions with the cost of its absence.
  • Review concentration by counterparty, sector and geography inside private placement transactions.

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.

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