1. Internal Fraud
a. Unauthorized activities
b. Theft and fraud
2. External Fraud
a. External Security
b. Theft and Fraud
3. Employment practices
a. Employee relations
b. Safe environment
c. Diversity and discrimination
4. Clients, products, and business processes
a. Suitability, disclosure, and fiduciary aspects
b. Product flaws
c. Improper business or market practices
d. Advisory activities
e. Selection, sponsorship, and exposure
5. Damage to physical assets
a. Disasters and other events
6. Business disruptions and system failures
a. Systems
7. Execution, delivery, and process management
a. Transaction capture, execution, and maintenance
b. Monitoring and reporting
c. Incomplete legal documentation
d. Customer account management
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