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.

Buy the full e-learning course now for just £14.95

If you have already purchased this e-learning course, login to view it.

Course Summary

Segregation of Duties

• 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

30 minutes

7 question multiple choice test

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