July 27, 2020

To allow the Operational Permanent Control Department to analyse properly an operational risk incident and our control system, some information must be reported on the historical incidents.

Provide the following details while reporting a historical incident

• When the event occurred, when it was detected, who detected it
• A brief account of the event
• What were the causes of the event (might be multiple causes, internal or external)
• In case of internal causes, where are these located (entity, failing process)
• What are the financial impacts of the incidents (losses, gains, provisions, etc) and who pays
• What immediate actions were decided
• The proposed long-term action plan

Help Sharekhan improve its risk control system by reporting all operational risk incidents, past and present, of which you may have knowledge to the OPC department at opc@sharekhan.com.