HC-6 Management Structure
- HC-6.1 Principle
- HC-6.2 Establishment of Management Structure
- HC-6.3 Titles, Authorities, Duties and Reporting Responsibilities
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HC-6.4 Compliance
- HC-6.4.1
- HC-6.4.2
- HC-6.4.3
- HC-6.4.4
- HC-6.4.5
- HC-6.4.6
- Responsibilities of the Board of Directors
- Responsibilities of the Senior Management
- Compliance Function
- Monitoring, testing and reporting
- Guidance and education
- Statutory responsibilities and liaison
- Right of access
- Competent Resources
- Relationship with Internal Audit
- Cross-border Issues
- Outsourcing
- Other requirements
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HC-6.5 Internal Audit
- Introduction
- Independence and Objectivity
- Professional Competence and Due Professional Care
- Professional Ethics
- Internal Audit Charter
- Scope of Activity
- Risk Management
- Capital Adequacy and Liquidity
- Regulatory and Internal Reporting
- Compliance
- Finance
- Permanency of the Internal Audit Function
- Responsibilities of the Board of Directors and Senior Management
- Responsibilities of the Audit Committee in relation to the Internal Audit Function
- Management of the Internal Audit Function
- Reporting Lines of the Internal Audit Function
- The Relationship between the Internal Audit, Compliance and Risk Management Functions
- Internal Audit within a Group or Holding Company Structure
- Outsourcing of Internal Audit Activities
- Communication between the CBB and the Internal Audit Function
- HC-6.6 Risk Management