The International Securities Consultancy (ISC)

Abu Dhabi Securities Market (ADSM)

Christine Seabrook 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)

Christine 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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