Page 108 - 作業風險管理－新巴塞爾資本協定下之應用

>>> 作業風險管理－新巴塞爾資本協定下之應用

T usts and r
Services,
g

osits, Bankin
p
Activity Groups
and De
g

Acquisitions, Underwriting, Privatizations, Securitization, Reserch, Debt (Government and High , Syndications, IPO, Secondary Private , Foreign Exchange, Commodities, Credit, Funding, Own Position Securities, Lending and Repos, Brokerage, Debt, Cross-Industrial Holdings Advice Finance, Factoring, Leasing, Loans, Guarantees, Bills of T , Non-securities r ansfer Clear
ers and g Mer eld) , Equity Y i Placements Fixed Income, Equity Estates Retail and Estates, Investment Exchange Payments and Collections, Funds (Customers) , Corporate Agents, Securities Settlement

Includes Prime Brokerage
Merchant/Commercial/Corporate Cards, Private Label and Agency
Retail Lendin Agency Basis Special Financial Services Performed on
T ade r , depository Receipts, Securities Lending Escrow
Level 2 Project Finance, Real Estate, Export Finance,
T r usts
Services Limited category for items than can only be categorized at
2. Municipal/Government 3. Finance 4. Advisory 2. Global Markets 3. T r easury/Funding 4. Corporate Investments Retail Banking Card Services Private Lending and Deposits, Banking Services, Commercial Banking 2. Securities Clearing Custody Services Corporate T r ust Custom Services
1.
Equities
ORX Business Lines Pooled, Segregated, Retail, Institutional, Closed, Open
Sales
Level 1
Private Banking Corporate Items
1. Corporate Finance
Fund Management
Corporate Finance T r ading Retail Banking Private Banking Banking Agency Services Asset Management Corporate Items
1. Cash Clearing

Execution and Full Service
Clearing
Commercial
Level 2
Retail Brokerage
a Retail Broker ge
1. Corporate Finance 2. Municipal / Government 4. Merchant Banking Services 2. Market Making 3. Proprietary Positions 4. T easury r 1. Retail Banking 2. Card Services 3. Private Banking Agency T r ust Discretionary Fund Management Non-Discretionary Fund Management
Basel Business Lines 3. Finance 5. Advisory 1. Sales Commercial Banking External Clients 1. Custody 2. Corporate 3. Corporate

Sales
Level 1
Retail Brokerage
Corporate Finance T r ading Retail Banking Commercial Banking Payment and Settlement Agency Services Asset Management Retail Brokerage N/A
Comparison of Basel and ORX Lines of Business Grids http://www /fpdb/ORX-Reporting-S g t .orx.or andards-v15.pdf

Other
3-9 Banking Banking
Investment
Business Unit

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