D Investment firms
Title /position | |
1 | Chief Executive Officer (CEO) or equivalent and Deputy CEO (D-CEO) if such a position exists |
2 | Chief Financial Officer for Category 1 and Category 2 Licensees only |
3 | Chief Risk Officer for Category 1 and Category 2 Licensees only (may be a combined role with an existing independent control function) |
4 | Chief Compliance Officer |
5 | Money Laundering Reporting Officer (MLRO) (may be combined with Compliance officer role) |
Added: March 2025