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حسابداری و مالی::
معامله با سوءاستفاده از اطلاعات محرمانه
The number of incidents of compliance breaches, amount of fines levied in a given period, number of strictures, complaints, amounts identified under insider trading, and fraud are some examples of quantitative indicators.
Money laundering Terrorist financing Tax evasion Conformance to regulations and standards expected Shareholders' complaints to regulators New products/ services without proper governance structures Advisory services (improper or misleading) Insider Trading Misrepresentation of facts Security and privacy issues Negative press for regulatory breaches Insider trading Customer complaint management Fraud Improper transactions Continuity of services
Risk Attribute Frequency Severity Customer complaint management Number of complaints by quarter Number in top three levels of criticality Shareholders complaints to regulators Number of complaints by quarter Number in top three levels of criticality Regulatory breaches Number of breaches by quarter Fines and penalties levied Insider trading Number of times insider trading identified Fines and penalties levied Bribery Number of bribery cases by quarter Amount
Management related Breach of code of conduct 11 9 20 Conflicts of interest in terms of roles within the organization or outside positions held 12 7 1 20 New products/services without proper governance structures 14 6 20 Insider trading 7 9 4 20 (continued)
Employee related LOW RISK MEDIUM RISK HIGH RISK Total Assessments Breach of code of conduct 10 10 0 20 Acceptance or giving of bribery in the form of gifts and favors 12 8 2 20 Insider trading 16 4 0 20 Fraud 6 10 4 20 5.
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