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2. types of risks

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sartaj hussain
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What is Financial Risk? ,[object Object],[object Object],[object Object],[object Object]
Financial Risks Credit Interest Rate Market Liquidity Operational Foreign Exchange Other Risks, Country Risk, Settlement risk, performance risk Some major financial risks
Commercial Banking Investment Banking Trading Others Business Poles Business Lines Large Corporates Corporate-Middle Management Retail Financial Services Securitisation Commodities Asset Financing Banks & Financial Firms LBO Mergers & Acquisition Advisory Services Fixed Income Equity Derivatives Custody Identified borrowers & relationship banking Lending & Collecting Deposits and from/to Individuals, small businesses ‘ Structured Finance’ Traded Instruments
Main Product-Market Segments Markets Product Groups Specialise finance Financial Institutions Large Corporate firms Corporate- Middle market Consumers Market Transactions Specialised finance Off-balance sheet Corporat e lending RFS
Mapping Banking Business lines with various activities: Execution & full service. Retail Brokerage Retail Brokerage Pooled, segregated, retail, institutional, closed, open, private equity. Pooled, segregated, retail, institutional, closed, open Discretionary fund Non-discretionary fund Asset Management Escrow, depository receipts, securities lending (customers), corporate actions Issuer and Paying agent. Custody Corporate Agency Corporate Trust Agency Services Payments and collections, funds transfer, clearing and settlement. External clients Payment & Settlement Project finance, real estate, export finance, trade finance, factoring, leasing, lending, guarantees, bills of exchange. Commercial Banking Commercial Banking Retail lending & deposits, banking services, trust & estates. Private lending and deposits, banking services, trust and estate, investment advice. Merchant/commercial/corporate cards, private labels & retail. Retail Banking Private Banking Card Services Retail Banking Fixed income, equity, foreign exchange, commodities, credit, funding, own position securities, lending & repos, brokerage, debt, prime brokerage. Sales Market Making Proprietary Positions Treasury Trading & Sales Mergers & Acquisitions, Underwriting, Privatisations, Securitisations, research, debt (govt,high yield), equity, syndications, IPO, secondary private placements. Corporate Finance Municipal/Government Finance Merchant Banking Advisory Services Corporate Finance Activity Groups Sub-groups Business Lines
Banking Book & Trading Book Concepts. ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Trading Book Banking Book
Exposure to Risk : Banking Book v/s Trading Book ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
some forms of banking book risk ,[object Object],[object Object],[object Object],[object Object],[object Object]
Bank Book Risks – A comparative view ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Liabilities Side Assets Side
Exposure to Risk : Banking Book v/s Trading Book ,[object Object],[object Object],[object Object],[object Object],[object Object]
some sources of trading book risk ,[object Object],[object Object],[object Object],[object Object]
Trading Book Risks – A comparative view ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Liabilities Side Assets Side
Schematic classification of some major Financial Risks ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Credit Risk: Composition ,[object Object],[object Object],[object Object],[object Object]
Credit risk in banking portfolio: ,[object Object],[object Object],[object Object],[object Object]
Credit risk in Trading portfolio: ,[object Object],[object Object],[object Object],[object Object],[object Object]
Illustration : Downgrading of rating & movement in required yield on a security. ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Liquidity Risk: Composition ,[object Object],[object Object],[object Object]
Funding Risk: ,[object Object],[object Object],[object Object]
Market Liquidity Risk: ,[object Object],[object Object],[object Object]
Asset Liquidity Risk: ,[object Object],[object Object],[object Object]
Consequence of liquidity risk: ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

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2. types of risks

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  • 2. Financial Risks Credit Interest Rate Market Liquidity Operational Foreign Exchange Other Risks, Country Risk, Settlement risk, performance risk Some major financial risks
  • 3. Commercial Banking Investment Banking Trading Others Business Poles Business Lines Large Corporates Corporate-Middle Management Retail Financial Services Securitisation Commodities Asset Financing Banks & Financial Firms LBO Mergers & Acquisition Advisory Services Fixed Income Equity Derivatives Custody Identified borrowers & relationship banking Lending & Collecting Deposits and from/to Individuals, small businesses ‘ Structured Finance’ Traded Instruments
  • 4. Main Product-Market Segments Markets Product Groups Specialise finance Financial Institutions Large Corporate firms Corporate- Middle market Consumers Market Transactions Specialised finance Off-balance sheet Corporat e lending RFS
  • 5. Mapping Banking Business lines with various activities: Execution & full service. Retail Brokerage Retail Brokerage Pooled, segregated, retail, institutional, closed, open, private equity. Pooled, segregated, retail, institutional, closed, open Discretionary fund Non-discretionary fund Asset Management Escrow, depository receipts, securities lending (customers), corporate actions Issuer and Paying agent. Custody Corporate Agency Corporate Trust Agency Services Payments and collections, funds transfer, clearing and settlement. External clients Payment & Settlement Project finance, real estate, export finance, trade finance, factoring, leasing, lending, guarantees, bills of exchange. Commercial Banking Commercial Banking Retail lending & deposits, banking services, trust & estates. Private lending and deposits, banking services, trust and estate, investment advice. Merchant/commercial/corporate cards, private labels & retail. Retail Banking Private Banking Card Services Retail Banking Fixed income, equity, foreign exchange, commodities, credit, funding, own position securities, lending & repos, brokerage, debt, prime brokerage. Sales Market Making Proprietary Positions Treasury Trading & Sales Mergers & Acquisitions, Underwriting, Privatisations, Securitisations, research, debt (govt,high yield), equity, syndications, IPO, secondary private placements. Corporate Finance Municipal/Government Finance Merchant Banking Advisory Services Corporate Finance Activity Groups Sub-groups Business Lines
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