(a) The firm's ability to efficiently process and settle the volumes of transactions;

(b) The firm's ability to monitor and predict margin calls and settlement calls;

(c) Availability of data sets including statistical factors particularly in respect of derivatives (betas, gammas etc.);

(d) Processes to ensure that the data sets used are current and subject to validation processes to provide support for the complexity of the transaction booked;

(e) The integrity of the valuation models used for derivative transactions — the investment firm licensee should have appropriate policies and processes ensuring accuracy and completeness of the related data flows including the data sets mentioned above, stress testing, backtesting for ensuring; and

(f) Support systems and the systems developed to interface with the core applications or databases should generate accurate information sufficient and to allow business unit management and senior management to monitor risk exposures in a timely manner.