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  • HC-10.3 HC-10.3 Financial Statements Certification

    • HC-10.3.1

      The Board shall have rigorous controls for financial audit and reporting, internal control, and compliance with law.

      January 2011

    • CEO and CFO Certification of Financial Statements

      • HC-10.3.2

        To encourage management accountability for the financial statements required by the directors, the investment firm licensee's CEO and chief financial officer should state in writing to the audit committee and the Board as a whole that the investment firm licensee's interim and annual financial statements present a true and fair view, in all material respects, of the investment firm licensee's financial condition and results of operations in accordance with applicable accounting standards.

        January 2011