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Establish, implement, and maintain securities transaction notifications.


CONTROL ID
16600
CONTROL TYPE
Establish/Maintain Documentation
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain a financial management program., CC ID: 13228

This Control has the following implementation support Control(s):
  • Include the call date in the securities transaction notification., CC ID: 16680
  • Include service charges and commissions in the securities transaction notification., CC ID: 16702
  • Include the funds and securities in the possession of the organization in the securities transaction notification., CC ID: 16679
  • Include the call price in the securities transaction notification., CC ID: 16678
  • Include debits and credits in the securities transaction notification., CC ID: 16677
  • Include transactions in the securities transaction notification., CC ID: 16676
  • Include the credit rating of securities in the securities transaction notification., CC ID: 16674
  • Include yield information in the securities transaction notification., CC ID: 16673
  • Include redemption information in the securities transaction notification., CC ID: 16672
  • Include the price calculated from the yield in the securities transaction notification., CC ID: 16669
  • Include the type of call in the securities transaction notification., CC ID: 16668
  • Include an account statement in the securities transaction notification., CC ID: 16666
  • Include the yield to maturity in the securities transaction notification., CC ID: 16665
  • Include the execution price in the securities transaction notification., CC ID: 16664
  • Include the organization's role in the securities transaction notification., CC ID: 16646
  • Include the name of the broker in the securities transaction notification., CC ID: 16647
  • Include the name of the customer in the securities transaction notification., CC ID: 16625
  • Include the organization's name in the securities transaction notification., CC ID: 16624
  • Include confirmations in the securities transaction notification., CC ID: 16623
  • Include remunerations in the securities transaction notification., CC ID: 16622
  • Include requested information in the securities transaction notification., CC ID: 16641
  • Disseminate and communicate securities transaction notifications to interested personnel and affected parties., CC ID: 16621
  • Include the execution date in the securities transaction notification., CC ID: 16620


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



This control is an implied control and is included to maintain the legal hierarchy for your selected controls.