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Designing a Resilient Investment Banking Model: The Maybank Investment Bank Journey
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[OR] [MIB] [E3] [CBS] [1] [MPR] Map Processes and Resources

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Operational resilience requires financial institutions to identify and map the resources that support their Critical Business Services (CBS), ensuring they can continue operating within impact tolerance during severe but plausible disruptions.

For CBS-1 Securities Trading & Execution, this involves systematically linking each Sub-CBS to its underlying processes, people, technology, third-party vendors, and upstream/downstream dependencies.

This chapter provides a comprehensive “Map Processes and Resources” for CBS-1 Securities Trading & Execution at Maybank Investment Bank.

The mapping enables scenario testing, impact analysis, and identification of single points of failure, thereby supporting regulatory compliance and strengthening resilience across the front-to-back trading value chain.

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Moh Heng Goh
Operational Resilience Certified Planner-Specialist-Expert

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CBS-1 Securities Trading & Execution 

Introduction

[OR] [MIB] [E3] [CBS] [1] [MPR] Map Processes and Resources

Operational resilience requires financial institutions to identify and map the resources that support their Critical Business Services (CBS), ensuring they can continue operating within impact tolerance during severe but plausible disruptions.

For CBS-1 Securities Trading & Execution, this involves systematically linking each Sub-CBS to its underlying processes, people, technology, third-party vendors, and upstream/downstream dependencies.

This chapter provides a comprehensive “Map Processes and Resources” for CBS-1 Securities Trading & Execution at Maybank Investment Bank.

The mapping enables scenario testing, impact analysis, and identification of single points of failure, thereby supporting regulatory compliance and strengthening resilience across the front-to-back trading value chain.

Banner [Table] [OR] [E3] Map Processes and Resources

Table P3: Map Processes and Resources for CBS-1

Sub-CBS Code

Sub-CBS

Processes

People

Technology (Applications & Infrastructure)

Third-Party Vendors

Upstream / Downstream Dependencies

1-1

Client Onboarding for Trading

KYC, AML screening, account opening, trading limit setup

Relationship Managers, Compliance, Onboarding Ops

CRM system, KYC/AML system, Core banking platform, Document management system

KYC data providers, Sanctions screening vendors

Upstream: Client data submission; Downstream: Order capture system

1-2

Order Capture & Validation

Order entry, validation, limit check, trade enrichment

Dealers, Sales Traders, Trading Assistants

Order Management System (OMS), Front-office trading platform, Network infrastructure

Market data providers (e.g., Bloomberg/Refinitiv), Exchange connectivity providers

Upstream: Client instruction; Downstream: Pre-trade risk controls

1-3

Pre-Trade Risk Controls

Credit limit check, fat finger control, margin sufficiency check

Risk Management, Market Risk Officers

Risk engine, Credit limit system, Real-time monitoring dashboards

Risk analytics vendors

Upstream: OMS; Downstream: Trade execution platforms

1-4

Trade Execution (Exchange-Traded)

Routing orders to the exchange, execution monitoring

Dealers, Trading Desk

Exchange gateway, FIX engine, OMS, Low-latency network

Bursa Malaysia, Foreign exchanges, Network providers

Upstream: Risk approval; Downstream: Trade capture

1-5

Trade Execution (OTC / Structured Products)

Price discovery, counterparty negotiation, and deal confirmation

Structured product desk, Sales, Legal

Pricing models, Deal capture system, Market data feeds

OTC counterparties, ISDA documentation support

Upstream: Risk approval; Downstream: Trade booking

1-6

Algorithmic & Electronic Trading Management

Algo strategy deployment, monitoring, and kill-switch activation

Electronic trading team, Quant analysts

Algo trading platform, Co-location servers, Market data feeds

Exchange co-location services, Software vendors

Upstream: Client order; Downstream: Execution & trade capture

1-7

Trade Confirmation & Client Notification

Generate confirmations, client notification via email/SWIFT

Operations, Client Services

Confirmation system, SWIFT interface, Email server

SWIFT network, Messaging vendors

Upstream: Trade booking; Downstream: Clearing

1-8

Trade Capture & Booking

Trade recording in the back-office system, position update

Middle Office, Trade Support

Trade processing system, Core ledger, Database servers

Core banking system vendor

Upstream: Execution platform; Downstream: Clearing & settlement

1-9

Clearing & Settlement Processing

Clearing submission, netting, and settlement instructions

Settlement Ops, Clearing team

Clearing system, Payment gateway, SWIFT

Clearing houses (e.g. Bursa Malaysia Clearing), Custodian banks

Upstream: Trade capture; Downstream: Custody

1-10

Custody & Safekeeping Coordination

Asset safekeeping, settlement status monitoring

Custody Ops, Operations Control

Custody system, Securities account platform

External custodians, Central Securities Depository

Upstream: Settlement; Downstream: Corporate actions

1-11

Margin & Collateral Management

Margin call issuance, collateral valuation

Treasury, Risk, Collateral Ops

Collateral management system, Risk engine

Tri-party agents, Custodian banks

Upstream: Trade exposure; Downstream: Treasury funding

1-12

Corporate Actions Processing

Dividend processing, rights issue handling

Corporate actions team

Corporate action module, Custody system

Depositories, Issuers, Custodians

Upstream: Custody records; Downstream: Client accounts

1-13

Reconciliation & Exception Management

Daily reconciliation (cash/securities), break resolution

Finance Ops, Reconciliation team

Reconciliation tool, Data warehouse

Core banking vendor, Custodians

Upstream: Trade booking & settlement; Downstream: Regulatory reporting

1-14

Regulatory Reporting & Surveillance

Transaction reporting, trade surveillance, suspicious activity monitoring

Compliance, Surveillance team

Regulatory reporting engine, Surveillance system

Regulators (e.g. Bursa Malaysia), RegTech vendors

Upstream: Trade database; Downstream: Regulatory submission

1-15

Business Continuity & System Recovery for Trading

DR activation, failover testing, crisis management

IT DR team, Crisis Management Team, Trading Heads

DR site, Backup data centre, Cloud infrastructure, Network redundancy

Data centre providers, Telecom providers

Upstream: All trading systems; Downstream: Restoration of full CBS functionality
 

Banner [Summing] [OR] [E3] Map Processes and Resources

The mapping of processes and resources for CBS-1 Securities Trading & Execution demonstrates the complexity and interconnectivity of Maybank Investment Bank’s trading ecosystem.

Each Sub-CBS is supported by a layered structure of people, technology, infrastructure, and third-party providers, forming a tightly integrated front-to-back value chain.

This structured mapping enables the identification of concentration risks, third-party reliance, system interdependencies, and potential single points of failure.

By clearly linking operational processes to supporting resources and dependencies, Maybank Investment Bank strengthens its ability to conduct scenario testing, assess impact tolerances, and respond effectively to severe disruptions.

This mapping serves as a foundational element of operational resilience, ensuring that securities trading and execution services remain sustainable, recoverable, and compliant under stress conditions.

 

Designing a Resilient Investment Banking Model: The Maybank Investment Bank Journey
eBook 3: Starting Your OR Implementation
CBS-1 Securities Trading & Execution
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[OR] [MIB] [E3] [CBS] [1] [DP] Securities Trading & Execution [OR] [MIB] [E3] [CBS] [1] [MD] Map Dependency [OR] [MIB] [E3] [CBS] [1] [MPR] Map Processes and Resources [OR] [MIB] [E3] [CBS] [1] [ITo] Establish Impact Tolerances [OR] [MIB] [E3] [CBS] [1] [SuPS] Identify Severe but Plausible Scenarios  [OR] [MIB] [E3] [CBS] [1] [ST] Perform Scenario Testing  New call-to-action

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