TMI BlogCore functions of recognised stock exchange and recognised clearing corporationX X X X Extracts X X X X X X X X Extracts X X X X ..... es the core and critical functions shall include but not limited to: a. Vertical 1: Critical operations i. Provision and operation of trading facilities; ii. Record keeping and disclosure of trade related information; iii. IT infrastructure for core and critical functions; iv. Business continuity plan and disaster recovery operations; v. Cyber security and cyber resilience framew ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... rastructure for core and critical functions; iv. Business continuity plan and disaster recovery operations; v. Cyber security and cyber resilience framework. b. Vertical 2: Regulatory, compliance, Risk Management and investor grievance i. Risk management; ii. Member registration; iii. Compliance; iv. Inspection; v. Enforcement; vi. Member default; vii. Investor protec ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... learing corporation from the other departments. The employees in the regulatory departments shall not communicate any information concerning regulatory activity to any one in other departments. The employees in regulatory areas may be physically segregated from employees in other departments including with respect to access controls. In exceptional circumstances employees from other departments ma ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... investor services, (4) Departments handling the following functions shall be considered as regulatory departments in a Clearing Corporation:- (a) Risk management, (b) member registration, (c) compliance, (d) inspection, (e) enforcement, (f) default, (g) investor protection, (h) investor services, (5) The recognized stock exchange / recognized clearing corporation shal ..... X X X X Extracts X X X X X X X X Extracts X X X X
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