Activity
Prioritise monitoring procedures
Establish control activities ICS ERM
Organisation
Responsible
Risk officers
Consulted
Senior Management
Input/Output
Input data
Control activities
Risk strategy
Output data
Monitoring plan
Requirements
Requirements (Basel II)
Monitoring and reporting
Review of adequacy of risk assessment
Supervisory response
Data quality
Requirements (SOX)
Section 906. Corporate responsibility for financial reports
Section 1102: Tampering With a Record or Otherwise Impeding an Official Proceeding
Section 409: Real Time Issuer Disclosures
Section 1001: Sense of the Senate Regarding the Signing of Corporate Tax Returns by Chief Executive Officers.
Section 802: Criminal penalties for altering documents
Section 302: Corporate Responsibility For Financial Reports
Section 404: Management Assessment Of Internal Controls
Section 403: Disclosures Of Transactions Involving Management And Principal Stockholders.
Requirements (MIFID)
Article 22 Client order handling rules
Article 5 General organisational requirements
Article 14 Trading process and finalisation of transactions in an MTF
Article 9 Responsibility of senior management
Article 8 Internal audit
Article 10 Complaints handling
Article 21 Obligation to execute orders on terms most favourable to the client
Article 13 Organisational requirements
Article 26 Monitoring of compliance with the rules of the MTF and with other
Article 7 Risk management
Article 20 Reports by external auditors
Article 6 Compliance
Article 12 Personal transactions