elearning > Segregation of duties

  

Learn about the following:

What segregation of duties is about. Who is responsible for segregation. How it affects what you are permitted to do. How it affects information reporting. When segregation goes wrong.

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Course Summary

• 30 minutes
• 7 question multiple choice test
• What segregation of duties is about
• Who is responsible for segregation
• How it affects what you are permitted to do
• How it affects information reporting
• When segregation goes wrong

Segregation of Duties - the details

1. What is segregation of duties?

• Definition
• Examples, what it means in practice
• FSA SYSC 5.1.6/7
• Who is responsible
• What you should do if segregation is failing

2. Objective and accurate information

• Why this is an issue for segregation
• FSA SYSC 5.1.8, example
• Risk reporting
• Accounting and financial reporting
• FSA SYSC 13.7.7
• Computer security

3. When segregation goes wrong

• Natwest Capital Markets
• What the dealers did
• How controls were circumvented
• Loss £90.5m
• The penalties
• What went wrong

4. Summary

5. Test