Activity
Align human resource policies and practices to ERM needs
Analyse internal environment ICS ERM
Organisation
Responsible
Middle Management
Accountable
Senior Management
Input/Output
Input data
Risk strategy
Company strategy
Output data
Process documentation
Staff regulations
Requirements
Requirements (Basel II)
Board and senior management oversight
Requirements (SOX)
Section 206: Conflicts of Interest.
Requirements (MIFID)
Article 9 Persons who effectively direct the business
Article 21 Conflicts of interest potentially detrimental to a client
Article 22 Conflicts of interest policy
Article 26 Inducements
Article 21 Obligation to execute orders on terms most favourable to the client
Article 23 Record of services or activities giving rise to detrimental conflict of interest
Article 5 General organisational requirements
Article 18 Conflicts of interest