Internal Controls Assessment for Trading Offices
A structured review of how trade tickets, settlement trails, and approval chains actually work on your desk — with a written findings pack your managers can act on.
Taipei · trading offices
System Branchcore
Compliance and internal controls consulting for dealing rooms and branch trading floors — written findings your managers can assign, not slide decks that gather dust.
Where we sit with your desk
We walk trade tickets, confirmation trails, and approval chains as they run today — then leave a controls map and a 90-day remediation plan with named owners.
Trading offices in Neihu and across Taipei face the same tension: lean headcount, fast markets, and auditors who still expect segregation, exception evidence, and procedures that match the floor.
System Branchcore works beside compliance officers, desk heads, and middle-office leads. Our flagship Internal Controls Assessment samples blotters, interviews control owners, and ranks gaps by severity — ready for internal audit or a regulator visit.
Consultations you can commission
Each offer is a human-delivered engagement for trading offices — not a software subscription.
Trading Desk Procedure Review
Line-by-line review of desk manuals, escalation trees, and end-of-day close checklists so written procedure matches what traders actually do.
Compliance Policy Drafting Support
Practical drafting help for personal trading rules, gifts registers, conflict disclosures, and branch compliance charters used by trading offices.
Control Owner Briefings
Focused briefings for desk heads and middle-office leads on segregation of duties, exception handling, and evidence they should keep ready for review.
What clients notice first
Specific desks, specific handoffs — evidence from real engagements.
“They spent two full mornings on our Neihu blotter before writing a single finding. The report named the exact handoff between our night clerk and morning settlements lead — that level of detail is rare.”
The remediation workshop ran long; we needed a second afternoon to finish owner assignments.
“Our desk manual still mentioned a fax confirmation path we abandoned in 2021. The procedure review caught it and rewrote the escalation tree so new hires stop asking the wrong person for overrides.”
Field notes from the floor
Practical writing on segregation, exception logs, and audit week preparation.
Segregation of Duties on a Small Trading Desk
When a branch has eight people covering trade entry, confirmations, and settlements, pure segregation feels impossible. Here is how Taipei desks usually draw practical lines.
What Belongs in a Trading Office Exception Log
Exception logs fill up with noise when every delayed fax is treated like a control breach. A tighter definition keeps the log useful for managers and reviewers.
Preparing a Neihu Branch for an Internal Audit Visit
Internal auditors ask for evidence packs, not polished presentations. A calm week of preparation beats a last-minute binder of unsorted printouts.