---
title: "Case Study: Description of Business Functions"
description: Case Study Exercise Background Description of Business Functions
image: https://blog.bcm-institute.org/hubfs/More%20Post%20Icon/All%20Safe%20Bank%20Icon/IC_Morepost_Description%20of%20Activities.png
---
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##### Business Continuity Management
# Case Study: Description of Business Functions
This is the background to the case study for the BCM-5000 Blended Learning course. This is the table of content to the multiple part series.
[Moh Heng Goh](https://blog.bcm-institute.org/en-us/bcm-training/author/moh-heng-goh) Mar 26, 2021
###### Business Continuity Management Certified Planner-Specialist-Expert
#### Summary Description of Functional Activities
[](https://cta-redirect.hubspot.com/cta/redirect/3893111/a4900576-c00e-450b-8d76-48935878eee3)The following provides a summary of some of the functional departments in the bank and some of the activities undertaken by this department.
Each business units will have function code; function name; and description of business function.
#### Administration
| AD-01 | Supply stationery & pre-printed Items | this includes stationery Items, pre-printed forms, documents, brochures, etc. |
| --- | --- | --- |
| AD-02 | Facility management | maintenance of system and equipment for building |
| AD-03 | Telecom support | Support and management of telecommunications between HQs and branches |
| AD-04 | Office supply | Supply of office equipment and furniture |
#### Credit Control
| CC-01 | Credit application | Review of new margin facility and revision of facility limit |
| --- | --- | --- |
| CC-02 | Collection and recovery | Monitor daily transactions eg loan drawdown, interest due dates; collection of payments and ensure all unsecure positions covered by collateral |
| CC-03 | Manage client futures trading | Ensure shortfalls are rectified |
#### Compliance
| CP-01 | Review employees transactions | review applications from staff and remisers to trade in securities; filter and give clearance prior to trade being executed |
| --- | --- | --- |
| CP-02 | Report to Board | Reporting to board and authorities on compliance status |
| CP-03 | Review account opening | Review clients trading application forms |
#### Corporate Secretariat
| CS-01 | Renewal of licenses and permits | Apply to the authorities for renewal of licenses and permits required for conduct of business |
| --- | --- | --- |
| CS-02 | Release public announcement and annual report | Release public announcement and annual report to stock exchange |
#### Finance
| FIN-01 | Financial reporting | Report to management, group and provide regulatory reporting & business analysis |
| --- | --- | --- |
| FIN-02 | Funds accounting | Manage cash float and bank reconciliation |
#### Group Communication
| COM-01 | Internal communication | Improve two-way dialog between internal stakeholders and organization |
| --- | --- | --- |
| COM-02 | External communication | Develop media release for new products and group activities |
| COM-03 | Content management | Manage website content |
#### Human Resource
| HR-01 | Payroll | Prepare and manage employees’ payroll |
| --- | --- | --- |
| HR-02 | Recruitment | Responsible for manpower planning & recruitment activities |
| HR-03 | Learning and development | Manage the learning and development activities and programme |
#### Institutional Sales
| IS-01 | Trade execution | Execute trade/order by clients |
| --- | --- | --- |
| IS-02 | Research | Prepare research reports/investments recommendation |
| IS-03 | Operations/ admin | Act as middle office to communicate with clients/investors – eg trade confirmation, contract details |
#### Internal Audit
| IA-01 | Completion of audit plan | Complete assignments which have been planned and report to audit committee |
| --- | --- | --- |
| IA-02 | Reporting to regulatory authority | Submit stipulated audit reports to the local monetary authority |
Information Technology
| IT-01 | IT operations | Manage daily operation and end of day processing (backup and reports printing and distribution) |
| --- | --- | --- |
| IT-02 | IT support | Manage network availability, security, hardware and software installation as well as first level support for application and software problems |
| IT-03 | E-commerce development | Manage e-commence project and change management |
Legal
| LEG-01 | Review legal documents | Highlight to management the risks/exposures involved, possible breaches and non-compliance to laws and regulations |
| --- | --- | --- |
| LEG-02 | Advisory | Advise business units on legal maters |
| LEG-03 | Formulating policy | Formulate and ensure compliance of legal policies of the bank |
#### Investment Banking
| IB-01 | Payments to trustee/ investor | Prepare payment to trustees and redeeming investors for daily liquidations within specified timeframe |
| --- | --- | --- |
| IB-02 | Monthly account closing | Prepare monthly report of revenue and expenses |
| IB-03 | Trade processing | Process shares purchase and sales, etc. |
| IB-04 | Monthly statement | Process, print and mail out monthly statement to investors |
| IB-05 | Investment committee and team meeting | Organize discussion on economic updates, important issues for analysts, fund managers and directors |
#### Sales and Marketing
| SM-01 | Sales appointment | Attend meeting with corporate/retail sales prospects to introduce banks’ products and services; update clients on latest market news and maintain rapport |
| --- | --- | --- |
| SM-02 | Sales transaction | Assist clients to invest/ liquidate/ switch funds (e collect investment form, cheques, etc.) |
| SM-03 | Road show/ event | Organize road shows/events for existing and new products; preparation and printing of associated materials, conference booking, etc. |
Risk Management
| RM-01 | Risk monitoring | Establish and ensure active monitoring on all internal portfolio risk parameters and limits |
| --- | --- | --- |
| RM-02 | Middle office function | Ensure compliance with pre-set internal risk paraments and limits for treasury activities |
| RM-03 | Overall risk management | Identify emerging risks, provide measurement tools for monitoring risks, undertake risks mitigation measures and reporting to executive management |
#### Treasury
| TR-01 | Local currency payment settlement | Execute real time payment to/from all interbank parties |
| --- | --- | --- |
| TR-02 | Foreign currency payment settlement | Execute real time payment to/from foreign agent banks for forex payment (SW IFT) |
| TR-03 | Internet banking | Manage and execute Internet banking for current account maintain with partner banks for online payment to customers |
[](https://cta-redirect.hubspot.com/cta/redirect/3893111/a4900576-c00e-450b-8d76-48935878eee3)
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