Premier Home Page

Home | Training | Solutions |Contact Us

t: +44(0)20 7729 1811

About Us | IT Training | Financial Training | Management Training | Course Dates | Delegate Information

Download PDF Brochure


If required, Premier will be happy to arrange hotel accommodation.


Asset Management for Professionals
Day 1:

Module 1:The General Asset Management Control Environment

  • Structure and roles in an asset management firm
  • Introduction to risk appetite and its calculation
  • General introduction to investment asset types and associated risks
  • Types of funds and how this changes risk
  • Introduction to asset allocation and how this mitigates risk
  • Introduction to benchmarks and performance evaluation
  • Case Study: How does risk in an asset manager differ from that at a bank?

Module 2:The Risk Management of Quoted Equity Investment

  • The risks associated with acquiring securities
  • The risks associated with managing securities
  • Risk associated with corporate actions
  • Pricing of quoted equity investments
  • Major sources of risk
  • General controls within equity investment
  • Risks associated with international equity markets
  • Tracking error
  • Controls over equity valuation techniques
  • Financial statement analysis
  • Ratio analysis
  • The selection of the benchmark
  • Tracking error
  • The role of middle and back office
  • The risk and control environment
  • Securities Lending
  • Case Study: What are the problems with equity analysis?

Day 2:

Module 3:The Risk Management of Quoted Fixed income Investment

  • The risks associated with acquiring and disposing of fixed income securities
  • The use of ratings and associated risk issues
  • The risks associated with pricing of fixed income securities
  • Risk and controls within the corporate fixed income processing
  • Risks associated with Government Securities
  • Sovereign risk ratings
  • The valuation of government securities
  • Risk and controls within sovereign bond processing
  • Case Study: What are the problems with model risk?

Module 4:The Risk Management of Real Estate Investment

  • Risk associated with the acquisition process
  • Corporate v residential property
  • Property tenancy or property development?
  • Property maintenance and tenant issues
  • Property valuation and benchmarks
  • Risks and controls
  • Case Study: How do you evaluate property?

Module 5:The Risk Management of Alternative investments

  • What are Alternative Investments?
  • Structured products
  • Risks and returns
  • Hedge funds
  • What is a hedge fund?
  • Risks and Control
  • Venture Capital
  • Valuation issues
  • Risk and Control
  • Private Equity/Angel Finance
  • What is private equity?
  • Risks and Controls
  • The use of derivatives in Asset Management
  • OTC vs ETD
  • Types of Derivatives used in Asset Management
  • Futures
  • Options
  • Risks and controls associated with derivatives, including documentation, valuation and reporting issues
  • Case Studies: How will risk management deal with the issues raised by changing instruments?

Day 3

Module 6:The Risk Management of Money Management

  • Role in asset management
  • Asset and liability management
  • Portfolio Liquidity
  • Asset diversification
  • Key risks and controls

Module 7:The Risks in Asset Allocation & Portfolio Management

  • Asset allocation and risk management
  • Use of historical data
  • Client suitability
  • Risks and control
  • Tactical asset allocation
  • Risks associated with Core and satellite
  • Risk and controls

Module 8: Operational Risk Issues

  • Internal loss data
  • External loss data
  • Loss databases
  • Identification of controls
  • Identification of risks and the risk register
  • Introduction to process modelling
  • Introduction to key risk indicators and the balanced scorecard
  • Introduction to transaction investigation procedures
  • What can go wrong in asset management
  • Introduction to control and risk self assessment
  • Scenario modelling
  • How to use scenario modelling in asset management
  • Stress Testing and Sensitivity Analysis
  • How to use stress testing and sensitivity analysis in asset management
  • Case Study: Internal loss data and Basel
  • Case Study: Develop suitable scenario and stress tests
  • Case Study: Develop suitable KRIs

Day 4

Module 9:The Risks in Outsourcing and the Selection and Management of Third Parties

  • The selection process
  • The service level agreement and other contracting issues
  • The testing phase
  • Key performance indicators
  • Risks and controls

Module 10:Acquiring a Client

  • Controls over new clients
  • Risks associated with client take on procedures
  • What information do you require for KYC?
  • How can you keep this up to date?
  • The client agreement
  • How to judge suitability
  • The moral vs actual risk dilemma

Module 11: Other Matters

  • Reporting to senior management
  • Escalation based reporting
  • Risks and controls
  • Reporting Performance
  • The client report
  • Standards of reporting
  • Risks and controls
  • Risk Issues in Pensions Fund Management
  • The role of the pensions trustee
  • Asset & liability management in a pension fund
  • Risk and controls
  • Credit risk
  • Counterparty credit risk
  • Use of limits
  • Central counterparties
  • Risks and controls


Course Venue:London EC2

Course Duration: 4 days

Fee: £3,195 + VAT

t: +44(0)20 7729 1811
f:+44(0)20 7729 9412