HC-2.3.11

Location:

Versions

Past version: Effective from 01 Jul 2007 to 31 Dec 2010
To view other versions open the versions tab on the right

Investment firm licensees should also have processes in place to deal with recommendations raised by internal audit to ensure that they are:

(a) Dealt with in a timely fashion;

(b) Monitored until they are settled; and

(c) Raised with senior management if they have not been adequately dealt with.

Adopted: July 2007