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TC-1.1.1

Individuals occupying controlled functions in a capital market licensee must be qualified and suitably experienced for their specific roles and responsibilities. The approved persons are:

(a) Board Member/Director;
(b) Chief Executive or General Manager and their Deputies;
(c) Chief Financial Officer and/or Head of Finance;
(d) Chief Risk Officer/ Head of Risk Management;
(e) Compliance Officer;
(f) Chief Information Officer/Chief Technology Officer or Head of Information Technology;
(g) Heads of Other Functions (as specified in respective Modules);
(h) Money Laundering Reporting Officer (MLRO);
(i) Registered Representative; and
(j) Chief Information Security Officer (CISO).
Added: January 2022