HKSI Institute AR2019

15 香港證券及投資學會 二零一九年年報 The Secretariat The Secretariat, led by the Chief Executive, is responsible for the day - t o - day ope r a t i ons o f t he HKSI Institute. As of 31 March 2019, t he Sec r e t a r i a t has 55 full time employees in the Chief Executive Office, the departments of Curriculum and Examinations, Educa t i on and Deve l opmen t , Membership and Outreach, and Corporate Affairs. Risk Management and Internal Control T h e HKS I I n s t i t u t e u p h o l d s high standards of integrity and accountability in its conduct as a professional examination, education and membership organisation. Sound and effective risk management (including reputational, information security, financial and operational risk) and internal control measures are put in place to ensure a smooth a n d s e c u r e d o p e r a t i o n . Ke y measures undertaken include: • Implementation of quality a s s u r a n c e a n d s e c u r i t y po l i c i es and p r ocedu r es to ensure the quality and i n t eg r i t y o f exami na t i on papers and training courses. • Implementation of policy to protect confidentiality and integrity of information, such as personal information of members, event and training participants, and examination candidates. • Deployment of a structured memb e r s h i p a dm i s s i o n mechanism to uphold the integrity of the membership base. 秘書處 秘書處由行政總裁領導，負責學會 的日常營運。截至 2019 年 3 月 31 日，秘書處共有 55 名全職員工，分 屬行政總裁辦公室，以及課程及考 試、持續培訓、會籍及外展、機構 事務等部門。 風險管理及內部監控 學會作為專業考試、教育及會員組 織，在操守及問責方面均秉持高標 準。良好和有效的風險管理（信譽、 資訊安全、財務及運作等風險）及內 部監控措施已就位，確保運作安全 穩定。主要措施包括： • 實施質素保證及安全政策和程 序，確保考卷及培訓課程質素 達標，公正全面。 • 推行周全的政策，確保資料保 密及完整，包括會員、活動和 培訓參加者及考生的個人資 料。 • 設立清晰的會員架構及入會審 批程序，以此維持會員的專業 操守。 合規事宜 學會致力全面遵守相關會計、稅務 及其他本地法定要求。 外部核數師 學會於 1997 年成立至今，承蒙畢馬 威會計師事務所擔任義務核數師， 為學會的財務狀況及營運程序提供 寶貴的獨立評估及意見。 Compliance T h e HKS I I n s t i t u t e i s f i r m l y c omm i t t e d t o t h e r e g u l a t o r y compliance of accounting, tax and other required local legal requirements. External Auditor KPMG has been appointed as the honorary auditor of the HKSI Institute since its establishment i n 1997, p r ov i d i ng i nva l uab l e independent assessment and perspective on the HKSI Institute’s financial standing and operation processes.