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AU-1.1.22J

For purpose of Paragraph AU-1.1.22D, investment firm licensees must submit a board resolution to undertake the activity together with the following information:

(a) Description of the services/products;
(b) Changes to organisation structure and framework (if any);
(c) Experience of resources responsible for such services and their details; and
(d) Enhancements to its risk management framework to capture, monitor, measure, control and report risks arising from the activity.
Added: January 2024