Page 1 of 1
You note that one of your options dealing desk is conducting an usually large number of internal transaction (transactio
Posted: Thu May 26, 2022 7:04 am
by answerhappygod
- You Note That One Of Your Options Dealing Desk Is Conducting An Usually Large Number Of Internal Transaction Transactio 1 (96.31 KiB) Viewed 15 times
You note that one of your options dealing desk is conducting an usually large number of internal transaction (transactions with other division of the same organisation). Should you: a. Call the division manager in for a chat about the matter. b. Write a "please explain” email to the division manager and copy this email to most people on the trading room floor, risk management and operations. C. Make a file note for the next time the internal auditor will visit this department (expected in about 7 months' time). d. Refer the matter to internal audit in preparation for a potentially prompt spot check on this desk. e. b) and d) f. a) and d)