Activity
Analyse changes in organisational structure
Manage changes in environment
Organisation
Responsible
Project Team
Consulted
Middle Management
Input/Output
Input data
Organisational structure
Requirements
Requirements (Basel II)
Assessment of capital adequacy
Review of adequacy of risk assessment
Sound capital assessment
Requirements (SOX)
Section 203: Audit Partner Rotation.
Requirements (MIFID)
Article 14 Trading process and finalisation of transactions in an MTF
Article 5 General organisational requirements
Article 21 Obligation to execute orders on terms most favourable to the client
Article 8 Internal audit
Article 9 Responsibility of senior management
Article 13 Organisational requirements
Article 6 Compliance
Article 26 Monitoring of compliance with the rules of the MTF and with other
Article 20 Reports by external auditors
Article 12 Personal transactions
Article 22 Client order handling rules
Article 10 Complaints handling
Article 7 Risk management