COMP7407A - Securities transaction banking

Semester 1, 2017-18

Dr. Juergen H. Rahmel
Teaching assistant
Mr. Anthony Lam
Syllabus The course introduces the business and technology scenarios in the field of Transaction Banking for financial markets. It balances the economic and financial considerations for products and markets with the organizational and technological requirements to successfully implement a banking function in this scenario and is a crossover between studies of economics, finance and information technology.
Introduction by Instructor Transaction Banking is one of the pillars of our current banking world. It is realized by information technology and organizational structures. However, technology in banking is not an aim in itself – it always should be seen as a business enabler.
For the example of Transaction Banking, this course offers a well-rounded view on the linkage between business, process, organization and technology - since understanding the business is the most elementary step for information technologists. Thus, beyond the actual topic, this course offers a unique opportunity to learn about the industry’s approach to using technology for business support. The course is held by a practitioner from Banking IT with 20+ years of international experience in the field.
Learning Outcomes
Course Learning Outcomes Relevant Programme Learning Outcome
CLO1. Students will be able to understand the key properties of basic financial products and their processing in a transaction banking scenario PLO.5, 6, 7, 8, 9, 10, 11, 12, 16
CLO2. Students will be able to describe the required organizational structure of a transaction bank and the existing outsourcing and offshoring opportunities PLO.4, 6, 7
CLO3. Students will be able to explain how the requirements of products, customers, markets and regulators are implemented by the necessary functions of an IT department in a transaction bank PLO.11, 12, 13
View Programme Learning Outcomes
Topics covered
Course Content No. of Hours Course Learning Outcomes
1.Types of securities, financial markets, custody functions and regulatory requirements 8 CLO1
2. Transaction Banking 6 CLO2
3. Internal Organisation of a Securities Transaction Bank 4 CLO2
4. Information Technology in Transaction Banks 12 CLO3
Description Type Weighting * Tentative Assessment Period /
Examination Period ^
Course Learning Outcomes
Written Assignment Continuous Assessment 20% Early October CLO1
Group work and Presentation Continuous Assessment 20% Early November CLO2
Written exam covers all taught content in the course. Written Examination 60% Dec 8 to 23, 2017 CLO1, CLO2, CLO3
* The weighting of coursework and examination marks is subject to approval
^ The exact examination date uses to be released when all enrolments are confirmed after add/drop period by the Examinations Office.  Students must oblige to the examination schedule. Students should NOT enrol in the course if they are not certain that they will be in Hong Kong during the examination period.  Absent from examination may result in failure in the course. There is no supplementary examination for all MSc curriculums in the Faculty of Engineering.

Course materials

Lecture Notes will be distributed
Additional Material (articles, books, data sources) will be given during the course.

Session dates
Date Time Venue Remark
Session 1 1 Sep 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 2 8 Sep 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 3 15 Sep 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 4 29 Sep 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 5 6 Oct 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 6 13 Oct 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 7 27 Oct 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 8 3 Nov 2017 (Fri) 7:00pm - 10:00pm MW-T5  
Session 9 10 Nov 2017 (Fri) 7:00pm - 10:00pm CB-A  
Session 10 17 Nov 2017 (Fri) 7:00pm - 10:00pm CB-A  
CB - Chow Yei Ching Building MW - Meng Wah Complex
Add/drop 1 September, 2017 - 14 September, 2017
Quota 100