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CBS-8 Wealth Management and Trust Banking
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In the context of Metrobank's operational resilience, mapping the processes and resources of CBS-8 Wealth Management and Trust Banking is crucial to ensure that the bank's critical business services can continue to operate even in the face of disruptions.
This involves understanding the dependencies across various sub-processes, technology, people, and third-party vendors that support the effective delivery of wealth management and trust banking services.
By mapping out these resources, Metrobank can enhance its ability to respond to and recover from potential operational disruptions, while ensuring compliance with regulatory requirements and safeguarding client interests.
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Table P3: Map Processes and Resources for CBS-8
|
Sub-CBS Code |
Sub-CBS |
Processes |
People |
Technology (applications and infrastructure) |
Third-party vendors |
Upstream/ Downstream Dependencies |
|
8.1 |
Client Onboarding and Profiling |
Account opening, Client profiling, KYC (Know Your Customer) verification |
Relationship Managers, Client Advisors |
CRM systems, KYC verification tools, and Client data management systems |
KYC/AML service providers |
Upstream: Client inquiries, Downstream: Account management |
|
8.2 |
Investment Advisory and Portfolio Management |
Investment strategy formulation, Portfolio management, Risk assessment |
Investment Advisors, Portfolio Managers |
Portfolio management software, Risk assessment tools, Market data feeds |
Asset managers, External investment analysts |
Upstream: Market data, Downstream: Client portfolio adjustments |
|
8.3 |
Trust Account Establishment and Administration |
Trust setup, Documentation preparation, Trustee selection, Ongoing management |
Trust Officers, Legal Advisors |
Trust management software, Document storage systems, Compliance and legal review tools |
Legal consultants, Trust custodians |
Upstream: Legal and regulatory requirements, Downstream: Trust disbursements |
|
8.4 |
Fund and Asset Management Operations |
Asset allocation, Fund administration, Performance tracking |
Fund Managers, Operations Team |
Asset management platforms, Fund tracking systems, Reporting tools |
Fund custodians, External auditors |
Upstream: Market trends, Downstream: Client performance reports |
|
8.5 |
Wealth and Estate Planning Services |
Estate planning consultation, Wealth structuring, Tax optimization |
Estate Planners, Tax Advisors |
Estate planning tools, Tax optimization software, Client communication platforms |
Estate lawyers, Tax advisors |
Upstream: Client financial goals, Downstream: Trust account management |
|
8.6 |
Regulatory and Fiduciary Compliance Management |
Compliance monitoring, Fiduciary oversight, Regulatory reporting |
Compliance Officers, Fiduciary Managers |
Compliance tracking systems, Regulatory reporting platforms, Fiduciary oversight tools |
Regulatory bodies, Legal consultants |
Upstream: Regulatory changes, Downstream: Client reporting |
|
8.7 |
Client Reporting and Relationship Management |
Regular client reporting, Relationship review, Service updates |
Relationship Managers, Client Service Team |
Reporting platforms, CRM systems, and Communication tools |
Report generation vendors, Data analytics services |
Upstream: Client data, Downstream: Investment adjustments and account reviews |
|
8.8 |
Custodial and Safekeeping Services |
Asset safekeeping, Custody management, Transaction settlements |
Custody Officers, Operations Team |
Custody management systems, Settlement platforms, Digital vaults |
Custody service providers, Custodial banks |
Upstream: Client transactions, Downstream: Asset safekeeping operations |
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Mapping the processes and resources for CBS-8 Wealth Management and Trust Banking enables Metrobank to understand its operational resilience capabilities.
By identifying key dependencies across people, processes, technology, and third-party vendors, the bank can better assess potential risks and impacts to its services, ensuring continuity of operations.
This mapping also helps in developing robust business continuity plans, allowing Metrobank to maintain trust and confidence among its clients, even during adverse conditions.
As operational resilience regulations evolve, this detailed mapping will be vital for ensuring that Metrobank remains compliant and capable of safeguarding its wealth management and trust banking services.
![[OR] [MBT] [E3] [CBS] [8] [DP] Wealth Management and Trust Banking](https://no-cache.hubspot.com/cta/default/3893111/c4487ae5-dfb6-4720-8c64-5a5ea7f52241.png)
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