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HC-6.2.2

The Board must appoint senior management whose authority must include management and operation of current activities of the licensees, reporting to and under the direction of the Board. The senior managers must include at a minimum:

(a) A CEO;
(b) A chief financial officer;
(c) An internal auditor;
(d) A compliance officer/MLRO (see HC-6.5 and AU-1.3); and
(e) must also include such other approved persons as the Board considers appropriate and as a minimum must include persons occupying controlled functions as outlined in Paragraph AU-1.3.2.
October 2019