Name: Student ID: Class:

Nguy n Ph 0853040009

ng Anh

CLC2 BSc Banking & Finance - FTU

Outline for the mid-course report Topic: Proposals for establishing trading limits for financial institutions Chapter 1: Introduction y Vietinbank  Establishment  Stock listing  Operating fields  Organization chart  Network Department of Financial Institutions Vietinbank Head Office  Scale  Functions  Objectives  Vision

Chapter 2: Establishing and monitoring trading limits for financial institutions y y y Subjects of application Scope of application Conditions for establishing trading limits  Unsecured trading limits  Secured trading limits Determination of trading limits  Base for determination  Frequency of determination Determination of trading limits for a single client and a group of related clients  For a single client  For a group of related clients Process of establishing trading limits Powers to determine trading limits  Board of Directors  Financial Institutions Committee  General Director Specific responsibilities  Financial Institutions Officer  Head of Financial Institutions Department  Credit & Investment Risks Management Department

y y

y y

y y y

Dossier for trading limits establishments  Dossier compiled  egal dossier  Dossier on trading limits establishments  Dossier storage  ong-term storage  3-year storage Monitoring trading limits Interim adjustments  Decrease or cancel  Increase Working period for assessing and establishing trading limits Reporting inspection, handling of violation Illustrative example: Proposal for establishing trading limits for MB Bank (as of year 2009)  egal capacity  History  Main Shareholders  Network  Operating fields  Financial capacity  Counting table (financial ratios, CAR, )  Financial position table (3 latest years)  Assessments & comments on financial position of MB o Assets & Liabilities o Liquidity o Profitability  Rating from international recognized statistical rating organization  Trading relationship with Vietinbank  Trading relationships with other financial institutions  Assessment results (as of Dec 31st, 2009)  Marking and rating MB  Overall assessment  MB s trading proposal  Proposal submitted  Trade finance limit  Foreign exchange limit  Investment limit

Chapter 3: Recommendation y Strengs and weaknesses  Strengths  Weakness

Recommendation  Assessment process & methods  Human resources