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CMP5937 Mastering Basel III for Senior Risk and Compliance Managers

$199.00
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A tailored course, built for your situation

Mastering Basel III for Senior Risk and Compliance Managers

Achieve precision-ready regulatory reporting with confidence on the first submission

$199 one-time
24-hour access provisioning 30-day money-back guarantee Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
Avoid rework cycles on capital adequacy submissions by building precision into the first draft

The situation this course is for

Even minor inconsistencies in Basel III reporting trigger cascading delays and internal review friction. Teams often rely on post-hoc cleanups instead of building accuracy in from the beginning.

Who this is for

Senior Risk and Compliance Managers in global financial institutions who own or contribute to Basel III reporting cycles and need outputs that are accurate, justifiable, and inspection-ready from the first version.

Who this is not for

Junior analysts learning the basics of capital frameworks, or teams focused exclusively on non-banking risk domains like cybersecurity or environmental compliance.

What you walk away with

  • Produce Basel III-compliant reports with fewer than 2% adjustment requests from internal reviewers
  • Build traceable logic paths for capital ratios that withstand cross-functional challenge
  • Document methodology decisions in alignment with EBA and PRA expectations
  • Deliver audit-ready liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) calculations on schedule
  • Reduce report revision cycles by embedding quality checks into initial drafting workflows

The 12 modules (with all 144 chapters)

Module 1. Basel III Structure and Core Objectives
Understand the foundational pillars of Basel III, including capital adequacy, leverage, and liquidity standards, and how they map to real reporting obligations at major financial institutions.
12 chapters in this module
  1. Overview of Basel III’s three pillars and their regulatory intent
  2. Key differences between Basel I, Basel II, and Basel III frameworks
  3. How national regulators implement Basel III through local rules
  4. Scope of application for global systemically important banks
  5. Capital adequacy requirements under Pillar 1
  6. Leverage ratio calculation and its role in risk control
  7. Liquidity coverage ratio thresholds and reporting triggers
  8. Net stable funding ratio and long-term funding obligations
  9. Pillar 2 supervisory review and internal capital adequacy processes
  10. Pillar 3 market discipline and public disclosure expectations
  11. Role of the Basel Committee on Banking Supervision
  12. How Basel III interacts with domestic regulatory regimes
Module 2. Capital Adequacy Ratio (CAR) Calculation
Learn the precise components of CAR, including Tier 1 and Tier 2 capital, risk-weighted assets, and adjustments for goodwill and deferred tax
12 chapters in this module
  1. Definition and purpose of the capital adequacy ratio
  2. Breakdown of Tier 1 capital: common equity and additional Tier 1
  3. Tier 2 capital and its supplementary role in loss absorption
  4. Standardized approach to credit risk-weighted assets
  5. Internal ratings-based (IRB) approach for banks with approval
  6. Operational risk capital under Basel III
  7. Market risk and trading book capital treatment
  8. Calculating total risk-weighted assets across asset classes
  9. Goodwill deductions and capital reductions
  10. Deferred tax assets and capital disallowances
  11. Impact of minority interests on capital composition
  12. Adjustments for securitization exposures and off-balance sheet items
Module 3. Leverage Ratio Calculation and Compliance
Build proficiency in computing the leverage ratio and identifying on- and off-balance sheet exposures that affect compliance
12 chapters in this module
  1. Purpose of the leverage ratio as a backstop to risk models
  2. Definition of Tier 1 capital for leverage calculations
  3. Total exposure measure and its components
  4. On-balance sheet assets included in exposure
  5. Derivative exposures and current exposure method
  6. Securities financing transactions and repo haircuts
  7. Unsettled transactions and pending settlements
  8. Off-balance sheet items and credit conversion factors
  9. Treatment of consolidated subsidiaries
  10. Treatment of asset management exposures
  11. Disclosures required under Pillar 3 for leverage ratio
  12. Common errors in leverage ratio reporting
Module 4. Liquidity Coverage Ratio (LCR) Framework
Master the LCR calculation, stress testing assumptions, and qualifying high-quality liquid assets
12 chapters in this module
  1. Purpose of the liquidity coverage ratio and crisis resilience
  2. Stock of high-quality liquid assets (HQLA) and classification
  3. Level 1 and Level 2 HQLA: eligibility and haircuts
  4. Net cash outflows under stressed conditions
  5. Retail and corporate deposit run-off rates
  6. Wholesale funding and concentration risks
  7. Derivative collateral calls and liquidity draws
  8. Insurance and pension fund treatment in LCR
  9. Intra-group support and cross-border restrictions
  10. Liquidity stress testing scenarios
  11. Reporting frequency and supervisory review timelines
  12. Common misclassifications in HQLA reporting
Module 5. Net Stable Funding Ratio (NSFR) Requirements
Understand stable funding needs, available stable funding, and how to calculate the NSFR across business lines
12 chapters in this module
  1. Objective of the net stable funding ratio
  2. Available stable funding sources and classifications
  3. Required stable funding by asset type
  4. Retail deposit stability factors
  5. Wholesale funding stability assumptions
  6. Derivative liabilities and funding stability
  7. Long-term vs short-term funding mix
  8. Treatment of securitization and structured products
  9. Interbank funding and counterparty concentration
  10. Funding stability for cross-border operations
  11. NSFR reporting templates and disclosure rules
  12. Trends in NSFR outcomes across global banks
Module 6. Pillar 2 Supervisory Review Process
Navigate internal capital adequacy assessments and regulatory stress tests under the Pillar 2 framework
12 chapters in this module
  1. Purpose of the supervisory review and evaluation process
  2. Internal Capital Adequacy Assessment Process (ICAAP)
  3. Stress testing methodologies and scenario design
  4. Reverse stress testing for extreme events
  5. Governance of the ICAAP process
  6. Board and senior management oversight roles
  7. Regulatory expectations for model risk management
  8. Own funds requirements and regulatory adjustments
  9. Supervisory Pillar 2 Guidance (P2G)
  10. Interaction between Pillar 1 and Pillar 2 capital
  11. Documentation standards for supervisory submissions
  12. Common findings in regulatory review reports
Module 7. Pillar 3 Public Disclosure Standards
Implement accurate and compliant disclosures for capital, risk exposure, and leverage under Pillar 3
12 chapters in this module
  1. Scope of entities subject to Pillar 3 reporting
  2. Minimum disclosure requirements by jurisdiction
  3. Capital structure and reconciliation templates
  4. Risk exposure disclosures for credit, market, and operational risk
  5. Leverage ratio and LCR public reporting
  6. Narrative disclosures on risk management approach
  7. Qualitative disclosures on governance and strategy
  8. Auditing and verification of public disclosures
  9. Timing and frequency of Pillar 3 reports
  10. Regional variations in Pillar 3 implementation
  11. Best practices for consistency across jurisdictions
  12. How peers handle complex disclosure footnotes
Module 8. Basel III Implementation at Global Banks
Examine real-world implementation challenges and organizational workflows
12 chapters in this module
  1. Organizational structure for Basel III compliance
  2. Role of central risk, treasury, and finance teams
  3. Data sourcing and reconciliation workflows
  4. Technology systems used for capital reporting
  5. Integration with financial close processes
  6. Version control for regulatory submissions
  7. Cross-functional alignment on assumptions
  8. Change management during regulatory updates
  9. Handling jurisdiction-specific variations
  10. Third-party validation and audit support
  11. Benchmarking against peer institutions
  12. Lessons from past regulatory exams
Module 9. IFRS 9 and Its Impact on Basel III Calculations
Connect accounting standards to regulatory capital metrics, especially expected credit losses
12 chapters in this module
  1. Overview of IFRS 9 accounting framework
  2. Expected credit loss (ECL) model and stages
  3. Impact of ECL on profit and loss volatility
  4. Interaction between IFRS 9 and capital ratios
  5. Loan loss provisions and Tier 1 capital
  6. Derecognition rules and off-balance sheet impact
  7. Forward-looking information in ECL modeling
  8. Governance of ECL assumptions and model validation
  9. Disclosure alignment between IFRS 9 and Pillar 3
  10. Stress testing under IFRS 9 scenarios
  11. Treatment of stage 3 assets in risk-weighted calculations
  12. Reconciliation of ECL outputs with regulatory filings
Module 10. COSO Framework Integration for Control Assurance
Align internal control frameworks with Basel III reporting integrity needs
12 chapters in this module
  1. Overview of the COSO internal control framework
  2. Control environment and tone at the top
  3. Risk assessment for financial reporting accuracy
  4. Control activities specific to capital data flows
  5. Information and communication for report transparency
  6. Monitoring activities and control testing
  7. Mapping COSO components to Basel III processes
  8. Segregation of duties in capital calculations
  9. Audit trail and change tracking requirements
  10. Documentation standards for control reviews
  11. Integration with SOX compliance efforts
  12. Leveraging COSO for regulator-facing assurance
Module 11. Regulatory Examination Readiness
Prepare for internal and external reviews with ready access to evidence and rationale
12 chapters in this module
  1. Typical scope of Basel III regulatory exams
  2. Document retention and versioning policies
  3. Evidence packages for capital ratio calculations
  4. Common questions from regulators on CAR
  5. Responses to LCR and NSFR methodology queries
  6. Preparing for on-site supervisory visits
  7. Internal audit coordination and issue tracking
  8. Peer comparison and benchmarking data
  9. Handling material errors or restatements
  10. Regulatory follow-up timelines and expectations
  11. Best practices for executive summaries
  12. Using past findings to prevent recurrence
Module 12. Future-Proofing Basel III Compliance
Anticipate upcoming revisions and enhance reporting resilience
12 chapters in this module
  1. Basel IV and output floor implementation timeline
  2. Impact of the standardized approach for credit risk
  3. Changes to operational risk capital calculation
  4. Revisions to the leverage ratio buffer
  5. Climate risk and its potential integration
  6. Digital transformation in capital reporting
  7. AI and automation in Basel III workflows
  8. Data governance and model risk management
  9. Workforce planning for regulatory change
  10. Benchmarking against top-tier performers
  11. Building flexible reporting templates
  12. Strategies for continuous improvement

How this maps to your situation

  • Initial capital adequacy assessment
  • Liquidity stress testing and reporting
  • Internal control alignment for audit readiness
  • Regulatory submission under review

Before vs. after

Before
Basel III reports require multiple review cycles, depend on last-minute fixes, and lack consistent documentation.
After
Reports are accurate, defensible, and submission-ready from the first draft, reducing rework and increasing stakeholder trust.

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters)
  • Downloadable templates and worked examples for every module
  • Hand-built implementation playbook delivered alongside course access
  • 30-day money-back guarantee

Delivery and format

  • Course and learning environment access provisioned within 24 hours of purchase
  • Hand-built implementation playbook delivered alongside course access

Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.

Time investment: Approximately 3 hours per module, designed for busy practitioners to complete at their own pace over 6, 8 weeks.

If nothing changes
Continuing without structured quality controls in Basel III reporting increases the likelihood of regulatory scrutiny, internal audit findings, and reputational risk due to delayed or inaccurate submissions.

How this compares to the alternatives

Unlike generic risk courses, this program focuses exclusively on precision execution for Basel III, with step-by-step guidance, real templates, and direct alignment to EBA, PRA, and APRA expectations , not just theory.

Frequently asked

Is this course suitable for someone who doesn’t work in a central regulatory team?
Yes. It’s designed for any senior manager involved in capital, liquidity, or risk reporting workflows, even if they contribute to only one part of the process.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will I receive templates I can use in my work?
Yes. Every module includes downloadable templates and worked examples tailored to real Basel III reporting scenarios.
$199 one-time. Approximately 3 hours per module, designed for busy practitioners to complete at their own pace over 6, 8 weeks..

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.

30-day money-back guarantee· 144 chapters· Hand-built playbook included· Account access within 24 hours
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