"Leaders get out in front and stay there by raising the standards by which they judge themselves- and by which they are willing to be judged."
Fredrick Smith, CEO, FedEx
Treasury Standards
Summary
The object is to provide the treasury professional a review of professional standards applicable to the treasury business. These include the operational environment, company specific issues relating to performance. It also covers dealing and security standards, rates and other issues. It details the monitoring and reporting standards. The back office operations covers the general set up, capacities and standards. It also covers practices and market terminologies and general risk management principle and dispute resolution
I: Business Hours
Market operations on regular basis and otherwise
II: Company-wide issues
Personal Conduct: Conduct standards application to participants, confidentiality and customer relationships
Setup: Duties and documentation
III: The Front Office
Dealers & Dealing Room: Roles of brokers, dealers, dealing room standards on interaction, deals, orders, positions and rate setting
Dealing through non voice platforms: qualifying & dealing procedures, consummation and variations
Dealing Practice for Specific Transactions including repos and stock lending
IV: The Middle Office
Middle Office Practice covering trades, internal review, reconciliation, MTM practices
Disputes, Complaints & Claims
V: The Back Office
General Setup covering competencies, operational risk , processing standards, preparedness
Control including settlements
Post Trade Standards & Practices including confirmation, netting and settlements
Use of Technology
Others
Practices and Terminology: Front Office, Dealing, Middle Office, Disputes, Back Office, Post trades
General Risk Management Principle for Dealing Business
Outlines for OTC dispute resolution
Summary
The object is to provide the treasury professional a review of professional standards applicable to the treasury business. These include the operational environment, company specific issues relating to performance. It also covers dealing and security standards, rates and other issues. It details the monitoring and reporting standards. The back office operations covers the general set up, capacities and standards. It also covers practices and market terminologies and general risk management principle and dispute resolution
I: Business Hours
Market operations on regular basis and otherwise
II: Company-wide issues
Personal Conduct: Conduct standards application to participants, confidentiality and customer relationships
Setup: Duties and documentation
III: The Front Office
Dealers & Dealing Room: Roles of brokers, dealers, dealing room standards on interaction, deals, orders, positions and rate setting
Dealing through non voice platforms: qualifying & dealing procedures, consummation and variations
Dealing Practice for Specific Transactions including repos and stock lending
IV: The Middle Office
Middle Office Practice covering trades, internal review, reconciliation, MTM practices
Disputes, Complaints & Claims
V: The Back Office
General Setup covering competencies, operational risk , processing standards, preparedness
Control including settlements
Post Trade Standards & Practices including confirmation, netting and settlements
Use of Technology
Others
Practices and Terminology: Front Office, Dealing, Middle Office, Disputes, Back Office, Post trades
General Risk Management Principle for Dealing Business
Outlines for OTC dispute resolution