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  • [ H ]

    • Head of Function

      A person who, under the immediate authority of the chief executive or general manager, exercises one or more major managerial functions or is responsible for maintaining accounts or other records of the firm (cf. Rule AU-1.2.10).

      Amended: July 2007

    • Home Supervisor

      The competent regulatory authority of the head office of a branch.

      Amended: July 2007

    • Host Regulator / Supervisor

      The competent authority in which a branch of a foreign licensee is located or in which a subsidiary or joint venture of a foreign parent licensee is incorporated.

      Added: April 2011