133. The internal control framework of an investment firm should ensure: a. effective and efficient …

The internal control framework of an investment firm should ensure:

• a. effective and efficient operations;
• b. adequate identification, measurement and mitigation of risks;
• c. the reliability of financial and non-financial information reported both internally and externally;
• d. sound administrative and accounting procedures; and
• e. compliance with laws, regulations, supervisory requirements and the investment firm ’ s internal policies, processes, rules and decisions.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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