RM-5.1.11
In establishing mechanisms and controls, the
(a) Corporate structure;
(b) Delegation of authorities;
(c) Outsourcing of functions;
(d) Financial and human resources;
(e) Risk management tools and processes;
(f) Administrative systems and procedures;
(g) Audit trail;
(h) Nature and complexity of client service and fee arrangements;
(i) Investment decision procedures;
(j) Management information systems;
(k) Compliance history and procedures;
(l) Complaints by investors;
(m) Regulatory actions; and
(n) Follow up on regulatory actions and inspection observations.
Adopted: July 2007