On-site examinations play a critically important role in the Supervisory oversight functions of any Central Bank or Regulatory Authority. Undertaking a detailed review of a particular aspect or function of a firm is the only real way to ascertain whether the firm is in fact putting into practice what their policy and process documents say they should be doing.
On-site examinations are also an important way for the regulatory authority to get an insight into what the culture within an organization is like, and to appreciate how well trained and experienced staff at all levels of the first, second and third lines of defence within the firm are.
Furthermore, as Central Banks and Regulators move from a CAMELS based approach to a Risk Based Supervision approach, on-site examinations will play an even more important role in their assessment and review of a firm.
This is therefore a key recommended course that should be part of the mandatory training programme for Supervisors and Specialists at all Central Banks and Regulatory Authorities. The course is open to more experienced Supervisors, Risk Specialists and other regulatory staff who wish to increase their knowledge and understanding of key techniques, methodology and global best practices in this important function.
The aim of the course is to teach and develop best practice in the field of on-site examinations. This will include detailed training on many of the key areas that are normally covered during such reviews, including: Scoping Examinations; Assessing Provision Adequacy and Non-Performing Loans; Evaluating Commercial Real Estate and Construction Loans; Evaluating the quality of Internal Audit, Risk Management and Compliance Functions; and Evaluating the Board and Senior Management.
The course will include formal classroom-based lectures, discussions, case studies and interactive roleplay on interviewing a firm’s Board, Senior Management and Non-Executive Directors. It will be delivered by subject matter experts drawn from the SEACEN Centre’s Faculty, Member Banks and others from the global regulatory, banking and consulting community.
Participants are required to have at least 3 years of experience working in an On-Site Examination or Risk Specialist function, or otherwise more generally within Supervision, Off-Site Examination or other related functions.
The course is also open to experienced staff at related Prudential and Conduct Risk Financial Supervisory Authorities which are not housed within the Central Bank / Monetary Authority, and we actively encourage members to extend invitations to these institutions.
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