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CBS-1 Securities Trading & Execution
Introduction
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Operational resilience requires more than identifying critical business services; it demands a structured mapping of the interconnections and interdependencies that enable those services to function end-to-end.
For CBS-1 Securities Trading & Execution at Maybank Investment Bank, the delivery of trading services depends on a tightly integrated ecosystem of people, processes, technology platforms, market infrastructures, and third-party providers.
Disruptions in any of these components—whether internal system failures, market connectivity outages, human resource constraints, or external clearing disruptions—can impair the firm’s ability to execute and settle trades within its impact tolerance.
This dependency mapping exercise systematically identifies and documents the critical internal and external resources supporting each Sub-CBS.
By understanding how these elements connect and interact, management can better assess concentration risk, identify single points of failure, prioritise recovery, and determine the resilience enhancements needed to safeguard trading operations.
![Banner [Table] [OR] [E3] Map Dependency](https://no-cache.hubspot.com/cta/default/3893111/8a44ad9d-681b-48ff-90b1-b994a1c12a64.png)
Table P2: Map Dependency for CBS-1
|
Sub-CBS Code |
Name of Sub-CBS |
Dependency Type |
Dependency Detail (What/Who is involved) |
Connectivity (How it connects/interacts with CBS or other components) |
|
1-1 |
Client Onboarding for Trading |
People |
Relationship Managers, Compliance, KYC/AML Analysts |
Initiates trading eligibility; feeds approved client data into trading systems |
|
|
|
Process |
KYC, AML screening, suitability assessment |
Enables account activation before order capture |
|
|
|
Technology |
Core banking system, CRM, onboarding platform |
Interfaces with the order management system (OMS) for client account validation |
|
|
|
Third Party |
External AML screening databases, eKYC providers |
Provides compliance verification and sanctions screening |
|
1-2 |
Order Capture & Validation |
People |
Dealers, Sales Traders |
Receive and input client orders into OMS |
|
|
|
Technology |
Order Management System (OMS), Trading Front-End |
Validates orders and routes to risk controls and execution venues |
|
|
|
Process |
Order validation rules, mandate checks |
Ensures correct instrument, limits, and client eligibility |
|
1-3 |
Pre-Trade Risk Controls |
People |
Risk Management Team |
Monitors trading limits and exposures |
|
|
|
Technology |
Risk engine, limit management system |
Performs automated credit, market, and position checks before execution |
|
|
|
Process |
Credit limit approval, exposure monitoring |
Blocks or approves trades before market execution |
|
1-4 |
Trade Execution (Exchange-Traded) |
Technology |
Exchange connectivity gateways (e.g., Bursa trading access) |
Routes validated orders to the exchange |
|
|
|
Third Party |
Bursa Malaysia |
Provides a trading venue and matching engine |
|
|
|
People |
Equity Traders |
Monitor execution and manage fills |
|
1-5 |
Trade Execution (OTC / Structured Products) |
People |
Structured product specialists, dealers |
Negotiate OTC trades with counterparties |
|
|
|
Technology |
Pricing models, trade negotiation platforms |
Determines fair pricing and confirms execution |
|
|
|
Third Party |
Counterparty banks, institutional clients |
Bilateral execution and settlement arrangements |
|
1-6 |
Algorithmic & Electronic Trading Management |
Technology |
Algorithmic trading engines, FIX gateways |
Automates execution strategies and market routing |
|
|
|
People |
Electronic trading support team |
Oversees performance and system stability |
|
|
|
Third Party |
Market data vendors |
Supplies real-time pricing feeds |
|
1-7 |
Trade Confirmation & Client Notification |
Technology |
Confirmation system, SWIFT interface |
Sends trade confirmations to clients |
|
|
|
People |
Operations team |
Verifies accuracy before dispatch |
|
|
|
Third Party |
SWIFT network |
Transmits confirmations securely |
|
1-8 |
Trade Capture & Booking |
Technology |
Back-office trading system |
Records executed trades in the accounting ledger |
|
|
|
Process |
Trade matching and allocation workflow |
Ensures correct client allocation and product booking |
|
1-9 |
Clearing & Settlement Processing |
Third Party |
Bursa Malaysia Securities Clearing |
Facilitates trade clearing |
|
|
|
Technology |
Settlement system, RTGS interface |
Processes fund and securities movement |
|
|
|
People |
Settlement officers |
Monitor settlement cycles (T+2, etc.) |
|
1-10 |
Custody & Safekeeping Coordination |
Third Party |
Custodian banks, depositories |
Holds securities on behalf of clients |
|
|
|
Technology |
Custody reporting interface |
Provides holdings status to clients and internal systems |
|
1-11 |
Margin & Collateral Management |
People |
Treasury, Risk, Collateral Management Team |
Monitors margin requirements |
|
|
|
Technology |
Margin calculation engine |
Calculates margin calls and collateral exposure |
|
|
|
Process |
Margin call issuance workflow |
Interfaces with settlement and treasury |
|
1-12 |
Corporate Actions Processing |
Third Party |
Issuers, depositories |
Provide dividend and rights issue announcements |
|
|
|
Technology |
Corporate action processing module |
Adjusts client holdings and entitlements |
|
1-13 |
Reconciliation & Exception Management |
People |
Operations control team |
Investigate breaks and discrepancies |
|
|
|
Technology |
Reconciliation engine |
Matches trades vs clearing records |
|
|
|
Process |
Exception escalation procedure |
Escalates unresolved discrepancies |
|
1-14 |
Regulatory Reporting & Surveillance |
People |
Compliance & Surveillance officers |
Monitor market conduct and suspicious activities |
|
|
|
Technology |
Trade surveillance system, reporting engine |
Generates regulatory submissions |
|
|
|
Third Party |
Securities Commission Malaysia |
Receives mandatory regulatory reports |
|
1-15 |
Business Continuity & System Recovery for Trading |
People |
BCM team, IT DR team |
Activate BCP and DR plans |
|
|
|
Technology |
Disaster recovery site, backup trading infrastructure |
Ensures failover capability |
|
|
|
Process |
Incident management and crisis communication framework |
Coordinates recovery within impact tolerance |
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The dependency mapping for CBS-1 Securities Trading & Execution highlights the highly interconnected nature of trading operations within Maybank Investment Bank.
From onboarding and risk controls to execution, clearing, and regulatory reporting, each sub-process relies on a combination of skilled personnel, structured workflows, robust technology platforms, and critical third-party infrastructures.
This mapping provides a transparent view of operational vulnerabilities and concentration risks, enabling management to strengthen controls, diversify dependencies, and design recovery strategies aligned with defined impact tolerances.
Ultimately, effective dependency mapping transforms operational resilience from a conceptual requirement into a measurable and actionable governance framework that protects market integrity and client confidence.
![[OR] [MIB] [E3] [CBS] [1] [DP] Securities Trading & Execution](https://no-cache.hubspot.com/cta/default/3893111/7a960cf5-5f8f-4795-8e2d-941b62c49b0e.png)
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