Activity
Analyse changes in business processes
Manage changes in environment
Organisation
Responsible
Project Team
Consulted
Middle Management
Process Expert
Input/Output
Input data
Process documentation
Requirements
Requirements (Basel II)
Review of adequacy of risk assessment
Assessment of capital adequacy
Sound capital assessment
Requirements (SOX)
Section 405: Exemption
Requirements (MIFID)
Article 20 Reports by external auditors
Article 13 Organisational requirements
Article 8 Internal audit
Article 22 Client order handling rules
Article 10 Complaints handling
Article 9 Responsibility of senior management
Article 14 Trading process and finalisation of transactions in an MTF
Article 21 Obligation to execute orders on terms most favourable to the client
Article 12 Personal transactions
Article 26 Monitoring of compliance with the rules of the MTF and with other
Article 5 General organisational requirements
Article 6 Compliance
Article 7 Risk management