The Training Environment For Financial Services

Creating an Effective ICAAP

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Outline & Objectives

Regulators expect investment firms to treat their Individual Capital Adequacy Assessment Process (ICAAP) as a risk management tool to inform business decisions and not merely a compliance exercise.

This practical course will help those attending understand the core ICAAP requirements and how to pull them together to create an effective ICAAP that is more than just a “box-ticking” exercise. It will also help delegates understand what to expect from a Supervisory Review and Evaluation Process (SREP) and how to manage the process effectively.

The programme will benefit Compliance, Operational Risk and Internal Audit prrofessionals in regulated investment firms subject to the demands of the production, maintenance and review of an ICAAP document, as well as senior Finance and Chief Operating Officers who are involved in the production of the ICAAP and need to understand its place in the control and governance framework.

Attending will help you:

  1. Understand the central role the ICAAP is intended to play in the Board’s strategic thinking and risk management activity
  2. Review the regulatory requirements applicable to the content
  3. Examine the practical problems in creating an ICAAP and how to overcome them
  4. Develop strategies for risk assessment
  5. Appreciate the role of stress testing
  6. Construct an appropriate winding-up plan and guidance
  7. Prepare for a SREP

Training Approach

This workshop is typically based on a case study developed throught the programme, complemented by trainer input, knowledge sharing and interactive syndicate work.

Course Agenda

Topics may include but are not limited to:

  • The role of the ICAAP in governance and senior management decision-making
  • Understanding the full extent of the regulatory requirements and expectations
  • Constructing an ICAAP
  • Strategies for risk assessment
  • Stress testing
  • The winding-up plan and guidance
  • Preparing for a SREP

 

 

 

 

 

 

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