Audit
CurrentInternal Audit for all brokerage transactions including the following:- Account Opening Forms (Customers Agreements).- Staff and relatives trading approval of (DFM-ADX) markets.- Shares Transfers (To-From) Markets (CDs).- Orders by using recorded landline phones and hand order tickets.- SIFS clients’ deposits and withdrawals.- Monthly segregation report as per SCA directives. Monthly Margin Trading Reports.- Checking customers’ complaints, FATCA report, E-Trading Back Up, customers transactions, as well asthe dormant accounts law.- Reviewing vulnerability assessment report and its compliance with SCA rules and regulations.- Reviewing the company social media compliance with SCA rules and regulations.- Making sure that clients’ manuals are up to date in following SCA rules and regulations.