---
title: [OR] [KIB] [E3] [CBS] [1] [MPR] Map Processes and Resources
description: [OR] [KIB] [E3] [CBS] [1] [MPR] Map Processes and Resources
image: https://blog.bcm-institute.org/hubfs/Kenangan%20Investment%20Bank%20Berhad%20Graphic%20Folder/Kenanga%20CBS%201/%5BOR%5D%20%5BKIB%5D%20%5BE3%5D%20%5BCBS%5D%20%5B1%5D%20%5BMPR%5D%20Securities%20Broking%20%26%20Trade%20Execution.jpg
---
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###### Resilience by Design: Kenanga Investment Bank’s Operational Resilience Journey
# \[OR\] \[KIB\] \[E3\] \[CBS\] \[1\] \[MPR\] Map Processes and Resources
[](https://cta-redirect.hubspot.com/cta/redirect/3893111/48d52e8f-4ce1-4b3f-8281-d865c450eba0)
**Mapping Processes and Resources is a foundational step** in Kenanga Investment Bank’s Operational Resilience journey for **CBS-1 Securities Broking & Trade Execution**.
This chapter translates the identified critical business service into a clear, observable operational reality by mapping each Sub-CBS to the people, processes, technology, third-party arrangements, and dependencies that enable the service to be delivered to clients.
Consistent with the **2025 BNM Discussion Paper on Operational Resilience**, this mapping is designed to:
- Identify **important resources** whose disruption could cause intolerable harm to clients, markets, or the Bank
- Reveal **concentration risk**, **single points of failure**, and **hidden third-party dependencies**
- Provide a defensible basis for **impact tolerance setting, scenario testing, and remediation planning**
This chapter, therefore, acts as a **bridge** between service identification and downstream resilience activities such as **severe-but-plausible scenario testing** and **investment prioritisation**.
### [](https://cta-redirect.hubspot.com/cta/redirect/3893111/bf4d1338-79cc-4e63-904c-9093a2477a6d)
[Moh Heng Goh](https://blog.bcm-institute.org/ebook-or/author/moh-heng-goh) Feb 3, 2026
###### Operational Resilience Certified Planner-Specialist-Expert
### [![x \[OR\] \[KIB\] Legal Disclaimer Banner](https://no-cache.hubspot.com/cta/default/3893111/b6372811-fb39-4c3e-b0fc-b669eb2b0056.png)](https://cta-redirect.hubspot.com/cta/redirect/3893111/b6372811-fb39-4c3e-b0fc-b669eb2b0056)
### [](https://cta-redirect.hubspot.com/cta/redirect/3893111/bf4d1338-79cc-4e63-904c-9093a2477a6d)**CBS-1 Securities Broking & Trade Execution**
#### Introduction
[](https://cta-redirect.hubspot.com/cta/redirect/3893111/13236bf6-fc90-4b35-bdfb-0885d3386459)
**Mapping Processes and Resources is a foundational step** in Kenanga Investment Bank’s Operational Resilience journey for **CBS-1 Securities Broking & Trade Execution**.
This chapter translates the identified critical business service into a clear, observable operational reality by mapping each Sub-CBS to the people, processes, technology, third-party arrangements, and dependencies that enable the service to be delivered to clients.
Consistent with the **2025 BNM Discussion Paper on Operational Resilience**, this mapping is designed to:
- Identify **important resources** whose disruption could cause intolerable harm to clients, markets, or the Bank
- Reveal **concentration risk**, **single points of failure**, and **hidden third-party dependencies**
- Provide a defensible basis for **impact tolerance setting, scenario testing, and remediation planning**
This chapter, therefore, acts as a **bridge** between service identification and downstream resilience activities such as **severe-but-plausible scenario testing** and **investment prioritisation**.
[![Banner \[Table\] \[OR\] \[E3\] Map Processes and Resources](https://no-cache.hubspot.com/cta/default/3893111/5af5497a-aa7f-41e4-b5ed-c9da8601d4ef.png)](https://cta-redirect.hubspot.com/cta/redirect/3893111/5af5497a-aa7f-41e4-b5ed-c9da8601d4ef)
###### Table P3: Map Processes and Resources for CBS-1
| Sub-CBS Code | Sub-CBS | Key Processes | People | Technology (Applications & Infrastructure) | Third-Party Vendors | Upstream / Downstream Dependencies |
| --- | --- | --- | --- | --- | --- | --- |
| 1.1 | Client Onboarding & Order Intake | Client due diligence (CDD), account opening, KYC verification, trading limit setup, order receipt (online/phone) | Client onboarding officers, dealers, and compliance analysts | Core brokerage system, KYC platforms, CRM, document management system, secure network | e-KYC providers, credit bureaus, identity verification vendors | Upstream: Client documentation, AML screening Downstream: Order validation, pre-trade checks |
| 1.2 | Order Validation & Pre-Trade Checks | Order completeness checks, limit validation, margin availability checks, and compliance filters | Dealers, risk management team, compliance officers | Order management system (OMS), risk engines, compliance rule engines | Market data vendors (prices), margin system providers | Upstream: Order intake Downstream: Order routing & execution |
| 1.3 | Order Routing & Trade Execution | Routing to the exchange/broker, execution monitoring, execution confirmation | Dealers, trading desk supervisors | OMS, exchange connectivity, FIX gateways, low-latency networks | Bursa Malaysia, executing brokers, telecom providers | Upstream: Validated orders Downstream: Trade capture & enrichment |
| 1.4 | Trade Capture & Enrichment | Trade booking, enrichment with client/account data, and fee computation | Trade support officers, operations analysts | Trade capture system, reference data platforms, pricing engines | Market data vendors | Upstream: Executed trades Downstream: Trade validation & verification |
| 1.5 | Trade Validation & Verification | Trade matching, discrepancy checks, and exception identification | Operations control team, middle-office analysts | Reconciliation tools, trade validation engines | Clearing brokers, CCP interfaces | Upstream: Trade capture Downstream: Confirmation & affirmation |
| 1.6 | Trade Confirmation & Affirmation | Client confirmations, counterparty affirmation, and dispute handling | Operations staff, client service officers | Confirmation platforms, messaging systems (SWIFT/email portals) | SWIFT service providers, messaging vendors | Upstream: Validated trades Downstream: Settlement instruction & clearing |
| 1.7 | Trade Settlement Instruction & Clearing | Settlement instruction generation, clearing submission, funds/securities movement | Settlements team, treasury operations | Settlement systems, custodian interfaces, payment systems, secure networks | Custodian banks, clearing houses, and payment service providers | Upstream: Affirmed trades Downstream: Post-trade reconciliation |
| 1.8 | Post-Trade Reconciliation & Exception Handling | Cash and securities reconciliation, break investigation, escalation | Operations reconciliation team, risk oversight | Reconciliation tools, exception management systems | Custodians, clearing houses | Upstream: Settlement data Downstream: Trade reporting & client settlement |
| 1.9 | Trade Reporting & Regulatory Compliance | Regulatory reporting, transaction reporting, and audit trail maintenance | Compliance officers, regulatory reporting analysts | Reporting engines, data warehouses, and regulatory submission portals | Regulators’ reporting gateways, trade repositories | Upstream: Completed trade lifecycle data Downstream: Client confirmation & disclosures |
| 1.10 | Client Settlement & Confirmation Delivery | Client cash/securities settlement, final confirmations, client notifications | Client services team, operations support | Client portals, payment systems, and notification platforms | Banks, payment processors, custodians | Upstream: Cleared & reconciled trades Downstream: Client account updates, service continuity |
#### Alignment and Practical Notes (BNM-Aligned Examples)
In line with the 2025 BNM Discussion Paper on Operational Resilience, this mapping explicitly:
- Identifies important business services down to a granular Sub-CBS level
- Maps people, technology, facilities, and third-party dependencies, including market infrastructures (e.g. exchanges, custodians)
- Supports identification of severe but plausible disruptions, such as:
- Loss of OMS connectivity to Bursa Malaysia
- Unavailability of a custodian bank during settlement windows
- Cyber disruption affecting client onboarding and trade reporting platforms
BNM expects such mappings to be living artefacts, reviewed after material changes (system upgrades, outsourcing changes, regulatory updates) and used actively in scenario testing and resilience investment decisions, not merely documented for compliance.
[![Banner \[Summing\] \[OR\] \[E3\] Map Interconnections and Interdependencies](https://no-cache.hubspot.com/cta/default/3893111/61e5330e-051c-4874-b6da-a1be8393c283.png)](https://cta-redirect.hubspot.com/cta/redirect/3893111/61e5330e-051c-4874-b6da-a1be8393c283)
The Map Processes and Resources exercise for CBS-1 Securities Broking & Trade Execution provides Kenanga Investment Bank with a clear, evidence-based view of how this critical service is delivered under normal conditions—and where it is most vulnerable under stress.
By linking each Sub-CBS to its supporting processes, people, technology, third parties, and dependencies, Kenanga establishes the foundation required by regulators to:
• Define impact tolerances with confidence
• Design severe-but-plausible scenario testing
• Prioritise resilience enhancements where client and market harm would be greatest
This mapping is not the end state. It is the starting point for embedding operational resilience into daily decision-making, investment planning, and crisis response for one of Kenanga Investment Bank’s most critical market-facing services.
| Resilience by Design: Kenanga Investment Bank’s Operational Resilience Journey | | | | | |
| --- | --- | --- | --- | --- | --- |
| **eBook 3: Starting Your OR Implementation** | | | | | |
| **CBS-1 Securities Broking & Trade Execution** | | | | | |
| **CBS-1 DP** | **CBS-1 MD** | **CBS-1 MPR** | **CBS-1 ITo** | **CBS-1 SuPS** | **CBS-1 ST** |
| [](https://cta-redirect.hubspot.com/cta/redirect/3893111/36711fdb-750a-4fca-a0ff-bf2b7b7fc8f0) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/7703bc84-d558-43fd-b952-018fbb9e62b4) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/13236bf6-fc90-4b35-bdfb-0885d3386459) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/9a892033-bb00-4fa0-a863-e40bae4060b4) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/97ee5b7e-f986-4aa7-a290-fdc1357c349a) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/92ce4e02-e15d-4eb6-895e-606361d86a79) |
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#### More Information About OR-5000 \[OR-5\] or OR-300 \[OR-3\]
To learn more about the course and schedule, click the buttons below for the OR-300 Operational Resilience Implementer course and the OR-5000 Operational Resilience Expert Implementer course.
| [](https://cta-redirect.hubspot.com/cta/redirect/3893111/3530eccb-515d-401e-afc2-3469e26d7fbf) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/fdd4fa9c-ed69-40c1-925f-4eb6a1c5c255) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/77a34b84-0a6d-44f8-b8d6-6ab04cdf5edd) |
| --- | --- | --- |
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| [![\[BL-OR\] \[3\] FAQ OR-300](https://no-cache.hubspot.com/cta/default/3893111/f20c71b4-f5e8-4aa5-8056-c374ca33a091.png)](https://cta-redirect.hubspot.com/cta/redirect/3893111/f20c71b4-f5e8-4aa5-8056-c374ca33a091) | If you have any questions, click to contact us.[![Email to Sales Team \[BCM Institute\]](https://no-cache.hubspot.com/cta/default/3893111/3c53daeb-2836-4843-b0e0-645baee2ab9e.png)](https://cta-redirect.hubspot.com/cta/redirect/3893111/3c53daeb-2836-4843-b0e0-645baee2ab9e) | [](https://cta-redirect.hubspot.com/cta/redirect/3893111/7f2718a4-ea80-4f84-a319-dc2d4df37a46) |
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#### **Comments:**
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