Enumeration | Definition |
---|---|
Advisory activities | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Customer / Client Account Management | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Customer intake and documentation | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Disasters and other events | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Diversity & Discrimination | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Employee Relations | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Improper business or market practices | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Monitoring and reporting | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Product flaws | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Safe environment | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Selection, sponsorship and exposure | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Suitability, disclosure and fiduciary | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Systems | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Systems security | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Theft and fraud | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Trade counterparties | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Transaction capture, execution and maintenance | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Unauthorised activity | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |
Vendors and suppliers | As defined in Annex 9 of Basel II Accord (BCBS, Basel II: International convergence of Capital Measurement and Capital Standards: A Revised Framework - Comprehensive Version (June 2006) ). |