TC-1 Requirements for Controlled Functions
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TC-1.1 Controlled Functions
- TC-1.1.1
- TC-1.1.2
- TC-1.1.3
- TC-1.1.4
- TC-1.1.5
- Board Member/Director
- Chief Executive or General Manager and their Deputies
- Chief Financial Officer/Head of Finance
- Chief Risk Officer/ Head of Risk Management
- Compliance Officer
- Chief Information Officer/Chief Technology Officer or Head of Information Technology
- Heads of Other Functions
- Money Laundering Reporting Officer (MLRO)
- Registered Representative
- Chief Information Security Officer
- TC-1.2 Continuous Professional Development Training (“CPD”)