Basel III, IV and Beyond – Effective Risk Data Management and Reporting: 2-day Workshop

By: Mario Mosse, President of MMosse Consulting, LLC
Coming soon.. Please contact customer care for new schedule

We need the below information to serve you better

Course Description:

This training program will cover the most significant standards and guidelines issued by the Basel Committee on Banking Supervision and discuss the most effective strategies for their implementation. We will also review proposed rules that will affect international banks and other financial institutions in the near future.

Risk management is a key component of every financial institution’s governance framework. To identify, assess and manage risk effectively, risk-data must be collected, processed, aggregated and reported in a secure and well-controlled environment. Additionally, compliance with regulations such as risk-based capital rules, specifically require challenging data quality and modeling standards to be met.

This seminar will also address best practices with respect to turning source data into reliable information that can be used to enhance risk management and decision-making processes at financial institutions, and to comply with federal regulations and international standards. During this session, we will review Risk Data Management along the spectrum of governance: identification, collection, tracking, modelling, internal/external reporting and impacts on regulatory capital.

Learning Objectives:

At the end of this seminar you should be able to:

  • Describe the Basel capital accords and guidelines and how they affect banks and other financial institutions
  • Understand the challenges and opportunities related to their implementation
  • Prepare for changes that are scheduled to occur in the next four years
  • Build a risk data management framework to support risk and capital reporting
  • Develop a model risk management program, including an effective model validation process
  • Understand the different methods used to assess and quantify risk
  • Describe how regulatory capital is calculated and reported

Areas Covered:

  • Regulatory Compliance
  • Risk Management
  • Corporate Governance
  • Policy Management
  • Capital Management
  • Liquidity Management
  • Financial Modeling
  • Risk Data Aggregation and Reporting

Who will Benefit:

This seminar will provide valuable information to individuals occupying the following positions in the financial services industry:

  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Corporate Treasurers
  • Financial Officers
  • Business Analysts
  • Corporate Secretaries

Topic Background:

The Basel Committee on Banking Supervision (BCBS) is the primary global standard setter for the prudential regulation of banks. Since the financial crisis of 2008, the BCBS has published a new capital accord (Basel III,) and a number of guidelines governing risk data aggregation and reporting and internal modeling. BCBS is now introducing a series of enhancements to Basel III that have been nicknamed Basel IV.

Course Outline

Day One (8:30 AM – 4:30 PM)
  • 8:30 to 9:00 AM: Breakfast & Introductions
  • 9:00 - 10:15 AM - Overview of Basel III and IV
    • Bank for International Settlements (BIS)
    • Basel Committee on Banking Supervision (BCBS)
    • Basel Capital Accords
    • New capital and buffer requirements under Basel III rules
    • New definition of capital
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM - Overview of Basel III and IV (cont.)
    • Key differences between Basel II and III
    • Proposed changes to the Internal Ratings Based Approach (Basel IV)
    • Other significant changes being introduced
    • Implementation Schedule
  • 12:00 - 1:00 PM: Lunch
  • 1:00 – 2:30 PM - Risk Data Management Framework
    • Overarching governance and infrastructure
    • Organization models for large, medium and small institutions
    • Infrastructure options based on size, nature and geographic location
    • BCBS 239 - Principles of Effective Risk Data Aggregation and Risk Reporting
    • Data management tools and processes
    • Level of complexity consistent with size of institutions
    • Risk data aggregation capabilities
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45- 4:30 PM - Risk Data Management Framework (cont.)
    • Risk reporting practices
    • Implementation process
    • Comprehensive and streamlined processes
    • Infrastructure for reporting key information
    • Enhancing management information across business units and legal entities
    • Facilitating aggregation and comprehensive assessment of risk exposures at the global consolidated level
  • Day Two (9:00 AM – 4:30 PM)
  • 9:00- 10:15 AM - Model Risk Management
    • Background
    • Model use
    • Model development, implementation and use
    • Model validation and verification
    • Governance, Policies and Controls
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM - Model Risk Management (cont.)
    • Three Lines of Defense
    • Roles and responsibilities
    • IT and Spreadsheet Controls
    • Effective Challenge
  • 12:00 - 1:00 PM: Lunch<
  • 1:00 – 2:30 PM - Risk and Capital Reporting
    • Risk and Control Assessments
    • Key Risk Indicators
    • Value-at-risk and Economic Capital Models
    • Stress Testing and Scenario Analysis
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45 - 4:30 PM - Risk and Capital Reporting (cont.)
    • Integrating qualitative and quantitative tools
    • Board and management reporting
    • Dashboard reports and technologies
    • Regulatory Capital calculation and reporting
  • Meet Your Instructor

    Behnam Davani
    Mario Mosse
    President of MMosse Consulting, LLC

    Mario Mosse has over 40 years of experience in operational risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of operational risk management at Prudential Financial, Inc. Prior to joining Prudential, Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in internal audit and risk management.

    Register Online

    Register Online

    Get the Invitation
    Pre-Register yourself and get the official Invite when venue and dates are announced for this seminar.
    Call here to register +1-1-888-771-6965 or email at

    Register by Wire Transfer

    If you wish to pay by wire transfer: Please call us at
    Toll Free +1-1-888-771-6965

    Download Registration Form

    Yes, I want to attend "Basel III, IV and Beyond - Effective Risk Data Management and Reporting: 2-day Workshop"
    Click here to Download Registration Form
    If you are paying by check:
    Checks should be payable to MetricStream Inc. (our parent company). and mailed to:
    2479 East Bayshore Road, Suite 260
    Palo Alto, CA 94303

    Terms & Conditions to register for the Seminar/Conference/Event

    Your Registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-771-6965 or email us @


    Payment is required before 2 days of the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. ( our parent company)

    Cancellations and Substitutions:

    Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $300 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days from the start date of the event.

    On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future GRC Seminars event and a credit note will be issued.

    Substitutions may be made at any time. No-shows will be charged the full amount.

    We discourage onsite registrations, however if you wish to register onsite payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available we will send the material after the conference is over.

    In the event GRC Seminars cancels the seminar, GRC Seminars is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

    Attendance confirmation and Documents to carry to the seminar venue:

    After we receive the payment from the registered attendee an electronic event pass will be sent to the email address associated with the registrant before 5 working days from the seminar date. Please bring the pass to the venue of the event.

    Conference photograph / video:

    By registering and attending GRC Seminars conference you agree to have your photographs or videos taken at the conference venue and you do not have any objections to use these photos and videos by GRC Seminars for marketing, archiving or any other conference related activities. You agree to release GRC Seminars for any kind of claims arising out of copyright or privacy violations.

    Media Partners

    If you wish to partner with us for this event please contact us: or call us: +1-888-771-6965.
    Media Partner Benefits
    • Logo and company data on the event website.
    • Logo on the conference material distributed during the conference.
    • Media Partner’s brochure distributed along with conference material.
    • Logo on all the mailings before and after the event.
    • 10% discount to media partner's subscribers.
    Media Partner to do
    • Banner (min 728x90 or 468x60) on the Media Partner website.
    • Insertion of the event in the event calendar, both printed and/or online.
    • Announcement article of the conference on the Magazine and/or Website.
    • Dedicated email blast to all subscribers of Media Partner.
    • Article on the Magazine and/or Website after the conference.

    Local Attractions of Newark, NJ

    Newark Museum:
    The Newark Museum, in Newark, Essex County, is the state's largest museum. It holds fine collections of American art, decorative arts, contemporary art, and art from Asia, Africa, the Americas, and the ancient world. Its extensive collections of American art include works by Hiram Powers, Thomas Cole, John Singer Sargent, Albert Bierstadt, Frederick Church, Childe Hassam, Mary Cassatt, Edward Hopper, Georgia O'Keeffe, Joseph Stella, Tony Smith and Frank Stella. The Newark Museum's Tibetan galleries are considered among the best in the world.

    Prudential Center:
    Prudential Center is a multi-purpose indoor arena in the central business district of Newark. Opened in 2007, it is the home of the National Hockey League's (NHL) New Jersey Devils and the NCAA's Seton Hall Pirates men's basketball team. The arena seats 16,592 patrons for hockey and 18,711 for basketball. Fans and sports writers have affectionately nicknamed the arena "The Rock" in reference to the Rock of Gibraltar, the corporate logo of Prudential Financial, a financial institution that owns the naming rights to the arena and is headquartered within walking distance. In December 2013, the arena ranked third nationally and ninth internationally for self-reported annual revenue.

    Branch Brook Park:
    Branch Brook Park is a county park of Essex County, located in the North Ward of Newark, between the neighborhoods of Forest Hill and Roseville. A portion of the park is also located within the Township of Belleville. At 360 acres, Branch Brook Park is the largest public park in the city of Newark. The park is noted for the largest collection of cherry blossom trees in the United States, with over 4,300 in more than fourteen different varieties collectively called Cherryblossomland, as well as its spectacular Cherry Blossom Festival each April. The festival attracts approximately 10,000 visitors each April.

    Cathedral Basilica of the Sacred Heart, Newark, New Jersey:
    The Cathedral Basilica of the Sacred Heart, the fifth-largest cathedral in North America, is the seat of the Roman Catholic Archdiocese of Newark. It is located at 89 Ridge Street in the Lower Broadway neighborhood of Newark, New Jersey. Envisioned as a fitting monument to the faith, construction began in 1899 and was finished in 1954. which includes 154 ranks playable from two consoles.