Internal control checklists

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Identification

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Question 1

Please identify 3 priority topics to be covered by an internal control checklist

You can use a same priority level only once

ChoicePriority
Anti-bribery '& corruption
Best execution and best selection
Clients' complaints
Commercial activities
Cost '& charges, Inducements
Data privacy
Financial crime (AML/KYC-KYD/Embargo/Sanction)
Fraud
Investment / divestment process
Market abuse
Marketing materials
Monitoring of ratios and restrictions (contractual and regulatory)
Outsourcing
Valuation
Proxy voting
Regulatory reporting
Tax requirements (FATCA/AEI, DAC6)
Volcker/LSB
Whistleblowing

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