either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
roughly unchanged. Robustness Checks Conclusions • An out-of-sample test of asymmetry in permanent price impacts documented from block and institutional equity trading in US. • Most importantly, show the
engagement competently If yes, how this decision is reached and whether it is documented. Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant
control testing plan for the production system. Test of controls did not cover key control areas Example 7 : Key manual control was not documented in working papers from an inspection of a banking business
documented. 7 Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant information to determine whether the relationship should be continued, and
Evaluation: Firm's Reference /Guidance Notes Description 1 Does the firm have a documented and organized appraisal policy and process? If yes, please describe. 2 How does the firm’s job evaluation / appraisal
with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy
with Chapter 4; (5) additional rules in accordance with Chapter 5. 3 Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented