Knowledge Base

Which monitoring tools are recommended by the ESMA guidelines incorporated into AMF Position DOC-2021-04?

Only aggregated risk indicators

Aggregated risk indicators and exception reports

Only the anomaly register

Aggregated risk indicators, exception reports and the anomaly register

What is the main role of the third level of control in the permanent control framework?

Operational controls performed by employees

Controls performed by the compliance function

Periodic internal audit evaluating overall effectiveness

Controls performed by the internal control and risk function

What is the distinguishing feature of the anomaly register in the context of compliance programme monitoring?

It provides quantitative measures of non-compliance risk.

It flags substantial deviations between expectations and the observed situation.

It records problematic situations requiring treatment.

It presents a summary of control activities and their results.

The annual compliance report should include only quantitative indicators.

True

False

Categorize items by dragging them to the appropriate zones

Items to categorize:

Number of anomalies detected

Summary of control activities

Completion rate of the annual control plan

Measures taken to remedy deficiencies

Categories:

Quantitative indicators

Elements of the annual report

Frequency of permanent controls

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First-level permanent controls are performed by the compliance function.

True

False

According to Article 321-31 of the AMF General Regulation, what is the first element to identify when conducting a non-compliance risk mapping?

Aggregated risk indicators

Exception reports

The institution's processes and activities

The anomaly register