CONTROL ID
16631
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 order tickets in the recordkeeping system for securities transactions., CC ID: 16640
- Include receipts and deliveries of securities in the recordkeeping system for securities transactions., CC ID: 16650
- Include debits and credits in the recordkeeping system for securities transactions., CC ID: 16639
- Include a description of the transaction in the recordkeeping system for securities transactions., CC ID: 16645
- Include chronological records of transactions in the recordkeeping system for securities transactions., CC ID: 16638
- Include the name of the dealer in the recordkeeping system for securities transactions., CC ID: 16637
- Include the execution price in the recordkeeping system for securities transactions., CC ID: 16636
- Include the date and time of the transaction in the recordkeeping system for securities transactions., CC ID: 16635
- Include the type of transaction in the recordkeeping system for securities transactions., CC ID: 16633
- Include account information In the recordkeeping system for securities transactions., CC ID: 16632
SELECTED AUTHORITY DOCUMENTS COMPLIED WITH
This control is an implied control and is included to maintain the legal hierarchy for your selected controls.
