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  • Heads of Other Functions

    • TC-1.1.13

      Heads of other functions are responsible for tracking specific functional performance goals in addition to identifying, managing and reporting critical organisational issues upstream. Certain functions require dealing directly with clients while others do not. Both categories of functions, however, require specific qualifications and experience to meet the objectives as well as compliance requirements of the capital market licensee.

      Added: January 2022

    • TC-1.1.14

      For purposes of Paragraph TC-1.1.13, capital market licensees should contact the CBB if they require further clarification on whether a specific position falls under the definition of “Heads of other Functions”.

      Added: January 2022