Abu Dhabi Securities Market (ADSM)

Communiqué worked with ISC in Abu Dhabi to develop a complete set of workflows and procedures documents for front-line staff at the new Abu Dhabi Securities Market (ADSM). This project required:

   analysis of the various roles and responsibilities required for operation of the ADSM

   analysis of the jobs and tasks to be performed by each role

   development of flowcharts showing information flow and the responsibilities of various people in completion of required tasks

   development of detailed written procedures to be followed by staff completing various tasks.


Comissão de Valores Mobiliários - CVM (Securities and Exchange Commission of Brazil)

Communiqué worked with ISC in Brazil to produce a set of online operational and managerial manuals and protocols for the standardization of the enforcement activities of the CVM. These included:

   tasks and procedures followed by inspectors before and during on-site inspections

   investigation and inquiry activities

   Administrative Sanction Proceedings

   managerial control of the Enforcement Department (SFI) and its components.

The project involved:

   analyzing SFI’s current enforcement activity operational procedures

   standardization of current procedural and reference information

   suggestions for improvements to the current procedures of the SFI based on international best-practice

   documenting the procedures and policies

   implementing the information on an online policies and procedures portal.

 







 

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