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Cash Management Risk Control Matrix - Corporate & Investment Banking

Name

Cash Management Risk Control Matrix - Corporate & Investment Banking

Description

Comprehensive risk control matrix for corporate and investment banking operations. Following are the top level columns:

  • Ownership and Management 
  • Process Organization 
  • Risk Assessment 
  • Control Definition 
  • Control Assessment 
  • Financial Statement Assertions 

Extract of  Control Descriptions

In case client deposits instruments at any FBL branch (drawn on partner bank), branch send the instruments directly via courier for collection to the respective drawee Partner Bank Branches or to the Main Branch of the partner bank.

Cash management Office (CMO) credits customers' accounts as per the details provided by the partner bank.
As per the customers' request, an Account Statement is sent on daily/weekly/fortnightly basis, which shows entire transactions. This acts as the confirmation receipt.

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Standard (Non-IT) Audit Program

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Subscription Level

Premium

Language

English