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  • HC-6.2 HC-6.2 Establishment of Management Structure

    • HC-6.2.1

      The board must appoint senior management whose authority must include management and operation of current activities of the licensee, reporting to and under the direction of the board. The senior management must include at a minimum:

      (a) A CEO;
      (b) A chief financial officer;
      (c) A corporate secretary;
      (d) An internal auditor; and
      (e) Compliance Officer/MLRO.
      Amended: July 2022
      January 2013