E-Quiz
Improved and more efficient business processes
Enhanced quality service to our customers
Reduced losses and cost of rework due to errors
All of the above
Seeks to eliminate and avoid all risks within the business
Seeks to mitigate all potential risks within the business through effective procedures and controls
Do not seek to eliminate risk, but rather to understand and profitably manage risks to optimize
None of the above
Risk and Control Self-Assessment
Authorisation Matrix
Key Risk Indicators
Incident Management
Maintain a level of risk awareness during your day-to-day activities.
My position has nothing to do with risk management.
Identify and report risks and control weakness.
A and C only.
True
False
Only the Senior Management is responsible for identifying fraud in our business.
Only regulators are responsible for identifying fraud in our business.
All Staff members are responsible for identifying fraud in our business.
Only Local Anti-fraud Officer is responsible for identifying fraud in our business.
Provide the requested materials to the agencies without delay as they are acting in good faith.
Provide the requested assistance to the agencies only when you have sought approval from your superior.
Refer the request to the Corporate Security & Investigations (CSI) for handling.
Refer the request to the Legal Department immediately for handling.
You should attempt to collect the evidence before you report the fraud case to the Anti-Fraud Officer
It is a must for you to notify your manager after you have reported a case to the Anti-Fraud officer
All staff should disclose their identities to Anti-Fraud Officer during fraud reporting
You should not share your reported details to any irrelevant party as this may jeopardize the investigation
It is acceptable for travelers to put safety in low priority as long as you are not traveling in a high risk country
Travelers are only required to take measures to minimize exposure to risks when they are traveling in high risk country
Vice Presidents shall avoid be booked together on the same flight for security reason
The total number of management team members on the same flight shall not exceed 30% of the total of the management team
Event security is a consideration only if investors and guests would attend
Risk assessment should be conducted and completed before an event
Event security should be supervised by the event co-ordinator and CSI security officer at all time
B & C only
Never send customer information to non-business related partners and your own email account
Work at home with VPN access
Upload company information to any websites with management approval
Dump screen with customer information without masking data for training material or operational procedure purpose
Protection of Confidentiality
Assurance of Integrity
Provision of Availability
All of the above
Information can be made freely available to the public
Information may be made freely available within the company but is NOT for general public
Information requires special protection
Information requires a very high level protection
Consist of a minimum of eight characters
Not be common or personal information
Include a mixture of upper and lower case and numeric or special characters
All of the above
24 hours
36 hours
48 hours
72 hours
The Human Resources Department
Your manager and the Money Laundering Reporting Officer (MLRO)
The Customer Service Department
The relevant customer
6 months
6 years
7 years
10 years
To avoid conflict of interest, the Company’s interest is always given priority
Approval is not needed for an employee to take up part-time job without paid
My personal finance is not related to the Conflict of Interest at work
None of the above
A bottle of wine which costs HK$2,500
A pen with the Company logo in a road show
A gift which costs HK$300 to a public official
A department store coupon which costs HK$200
Advising their spouses/ friends to carry out securities transactions based on such information.
Carrying out advance securities transactions in response to, or in advance of, large securities orders by customers or by the Company.
Carrying out personal investment in restricted securities without obtaining pre-approval from the Head of Compliance, if you are a permanent insider.
All of the above.
Anonymous
Confidential
Secure
Fast
Head of Compliance
Head of Internal Audit
Chief Risk Officer
Your direct line manager