HKSI Institute AR2020

13 香港證券及投資學會 二零二零年年報 The Secretariat The Secretariat, led by the Chief Executive, is responsible for the day-to-day operations of the HKSI Institute. There are five departments within the Secretariat - Curriculum and Ex am i na t i on s , Edu c a t i on and Development, Membership and Ou t r each , I nnova t i on and Technology, and Corporate Affairs - each led by a director. Risk Management and Internal Control T h e H K S 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 . K e y measures undertaken include: • Imp l emen t a t i on o f qua l i t y a s s u r a n c e a n d s e c u r i t y policies and procedures to ensure the quality and integrity of examination 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 m e m b e r s h i p a d m i s s i o n mechan i sm t o upho l d t he integrity of the membership base. Compliance The HKSI Institute is firmly committed to the regulatory 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 in 1997, providing invaluable independent assessment and perspective on the HKSI Institute’s financial standing and operation processes. 秘書處 秘書處由行政總裁領導，負責學會的 日常營運。秘書處共有五個部門 - 課 程及考試、持續培訓、會籍及外展、 創新及科技和機構事務等，每個部門 均由一名總監領導。 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。