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Include a space to explain legal penalties on the job application.


CONTROL ID
16183
CONTROL TYPE
Human Resources Management
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain job applications., CC ID: 16180

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • A record of any arrest or indictment for any felony, or any misdemeanor pertaining to securities, commodities, banking, insurance or real estate (including, but not limited to, acting or being associated with a broker or dealer, investment company, investment adviser, futures sponsor, bank, or savin… (ยง 240.17a-3 (a)(12)(i) (G), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)