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Include a space for previous employers and business relationships on the job application.


CONTROL ID
16185
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 complete, consecutive statement of all the associated person's business connections for at least the preceding ten years, including whether the employment was part-time or full-time; (ยง 240.17a-3 (a)(12)(i) (C), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)