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HC-2.4.2

Past version: Effective from 01 Oct 2010 to 31 Mar 2016
To view other versions open the versions tab on the right

Depending on the nature, scale and complexity of its business, a licensee should consider having a separate compliance function. A compliance function should:

(a) Document its organisation and responsibilities;
(b) Be appropriately staffed with competent individuals;
(c) Have unrestricted access to the licensee's relevant records; and
(d) Have ultimate recourse to the Board.
October 2010