Câu 5: ORM: Operational Risk Management
Compliance departments traditionally provide policy, oversight, and set the standards for monitoring personal dealing. Which control below would assist in implementing such policies?
Nội dung câu hỏi
Compliance departments traditionally provide policy, oversight, and set the standards for monitoring personal dealing. Which control below would assist in implementing such policies?
Các lựa chọn
Đáp án được giữ gọn theo nhãn A, B, C, D trong phần bình chọn tương tác.
- A. A list of approved suppliers that have been added to the outsourcing policy.
- B. Outsourcing of the policy writing to an accounting firm at least once every 5 years.
- C. Watch lists of stocks that are not allowed to be traded for a period of time, for instance, ahead of a securities offering that the firm is managing. — đáp án hiện tại
- D. Outsourcing of the policy writing to an accounting firm at least once every 3 years.
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