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RM-8.1.9

The internal control mechanisms referred to in RM-8.1.6 must include:

(a) Mechanisms that are adequate for the purpose of producing any data and information which would be relevant for the purpose of monitoring compliance with any prudential requirements (including any reporting requirements and any requirements relating to capital adequacy, solvency and large exposures):
(i) To which the investment firm licenseeG is subject with respect to its membership of a group; or
(ii) That apply to or with respect to that group or part of it; and
(b) Mechanisms that are adequate to monitor funding within the group.
Adopted: July 2007
 Versions
(1 Version)
 
Jul 1 2007 onwards
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