- Establishment of Management Structure
- HC-10.6.2- The Board should appoint - senior management whose authority must include management and operation of current activities of the- investment firm licensee , reporting to and under the direction of the Board. The- senior managers should include at a minimum:(a) A- CEO ;(b) A chief financial officer;(c) A corporate secretary; and(d) An internal auditor (see AU-1.2)- and should also include such other - approved persons as the Board considers appropriate and as a minimum must include persons occupying- controlled functions as outlined in Paragraph AU-1.2.2.January 2011
