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  • Head of Function

    • TC-1.1.11 [deleted]

      [Paragraph deleted in January 2011].

      Deleted: January 2011

    • TC-1.1.12

      Heads of 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 investment firm licensee.

      Adopted: July 2010