Ryan Spendelow – CFI Education – Basel III and Risk Management

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Ryan Spendelow – CFI Education – Basel III and Risk Management
Basel III and Risk Management
Learn how global banks implement the critical components of Basel III, including minimum capital requirements, along with leverage and liquidity requirements ● Describe the key objectives of banking regulatory frameworks ● Calculate regulatory capital, leverage and liquidity ratios for global banking institutions ● Source real-life data from financial reports and regulatory filings
Overview
Basel III and Risk Management Course Overview
Banking regulations are the fundamental pillar supporting stability, fairness, and trust in our financial systems. They aim to prevent reckless behavior by banks and ensure that individual customers and the broader economy are shielded from unnecessary risks.
And, to a great extent, banking regulations directly impact how banks manage all the risks they encounter as they provide their vast array of products and services to their customers.
Basel III is a global regulatory framework adopted by regulators all over the world. As such, it remains the most influential regulatory framework for banks, hugely impacting the ways banks manage their risks.
Any banking role within risk management will be impacted by the requirements of Basel III. Therefore, it is crucial for risk management professionals, both present and future, to have a sound grasp of the objectives of this framework, along with the key capital, leverage, and liquidity requirements.
Learning Objectives

You will be able to define banking regulation, describe the primary objectives of banking regulation, and list the key global regulators are in the banking industry.
You will be able to calculate the levels of regulatory capital a bank holds and determine if this exceeds the minimum amounts set out under Basel III.
You will identify the liquidity and leverage requirements of Basel III and determine if banks are above their specified minimum levels.
While we focus on Basel III during this course, you will also become familiar with other impactful regulatory frameworks that affect today’s banking industry.

Who Should Take Basel III and Risk Management?
This course is ideal for any banking professional currently working in or seeking a career in risk management. It is also suitable for banking professionals working in compliance, internal audit, finance and investor relations that want to enhance their knowledge of Basel III.
What you’ll learn
Course Introduction
Course Introduction
Learning Objectives
Download Course Materials
Regulation Around the Globe
Bank Regulators and Banking Regulations
Poll Question 1
Poll 1
What are Banking Regulations
Interactive Exercise 1 | Introduction
Interactive Exercise 1
Objectives of Banking Regulations
Interactive Exercise 2 | Introduction
Interactive Exercise 2
Interactive Exercise 2| Solution
Regulators in the U.S.
Interactive Exercise 3 | Introduction
Interactive Exercise 3
Regulators in the UK
Regulators in Europe
Interactive Exercise 4
Regulators in Asia
Interactive Exercise 5
Basel III and Capital Requirements
A Banks Balance Sheet
Interactive Exercise 6
Interactive Exercise 6 | Solution
Bank of America Balance Sheet | Assets
Bank of America Balance Sheet | Funding
Why Do Banks Hold Capital
Risky Bank
Risky Bank | Excel Exercise
Poll 2
The Impact of Leverage
Interactive Exercise 7
Interactive Exercise 7 | Solution
Basel III
Common Equity Tier 1
Additional Tier 1 Capital
Deeper Dive | Additional Tier 1 Bonds
Tier 2 Capital
Interactive Exercise 8
Risk Weighted Assets
Risk Weighted Assets | Bank of America and Barclays Template
Risk Weighted Assets | Continued
Minimum Capital Ratios
Minimum Capital Ratios | Excel Example
Minimum Capital Ratios | Check-in
Minimum Capital Ratios | Excel Example Continued
Minimum Capital Ratios | Conclusion
Interactive Exercise 9
Interactive Exercise 9 | Solution
Capital Conservation Buffer
Global Systematically Important Banks
Poll Question 3
Poll 3
Global Systematically Important Banks Criteria
Countercyclical Buffer
Interactive Exercise 10
Comprehensive Capital Analysis and Review
Bank of America Regulatory Ratios
Other Basel III Requirements
Structure of Basel III
Basel III Objectives
Measuring Leverage
The Leverage Ratio
Interactive Exercise 11
Leverage Ratio for US Banks | Part 1
Leverage Ratio for US Banks | Part 2
Leverage Ratio for US Banks | Part 3
Leverage Ratio for US Banks | Part 4
Leverage Ratio for European Banks | Part 1
Leverage Ratio for European Banks | Part 2
Leverage Ratio for European Banks | Part 3
Leverage Ratio for UK Banks | Part 1
Leverage Ratio for UK Banks | Part 2
Leverage Ratio for UK Banks | Part 3
Liquidity | Northern Rock
Basel III – Liquidity Coverage Ratio (LCR)
Liquidity Coverage Ratio
Interactive Exercise 12
Interactive Exercise 12 | PDF Walk-through
Interactive Exercise 12 | Solution
Basel III – Net Stable Funding Ratio (NSFR)
Calculating ASF & RSF
Calculating NSFR
Case Study
Case Study Introduction
Dodd Frank
Volcker Rule
MiFID II
Case Study Questions
Course Summary
Course Summary
Download Exercise Solutions
Qualified Assessment
Qualified Assessment