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3I0-012 · Question #394

3I0-012 Question #394: Real Exam Question with Answer & Explanation

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Question

As to general risk management principles, the Model Code mentions that the organizationalstructure should ensure independent risk management and controls. Which one of the following is not among those controls?

Options

  • Aopen and effective communication channels between all levels of staff and cross-functions should
  • Bregular internal audits should be carried out together with trading and risk management to ensure
  • Ccomplete segregation of duties between the front, middle and back office activities
  • Da separate system for independent monitoring to ensure compliance with the risk management framework

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