Versions

 

HC-8.6.2

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

(a) A CEO/General Manager;
(b) A chief financial officer and/or Financial Controller;
(c) Compliance Officer/MLRO

and should also include such other approved persons as the Board considers appropriate and as a minimum should include persons occupying controlled functions as outlined in Paragraph AU-1.2.2.

October 2019