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Depending on the nature, scale and complexity of its business, an investment firmG licenseeG should consider having a separate compliance function. A compliance function should:

(a) Document its organisation and responsibilities;
(b) Be appropriately staffed with competent individuals;
(c) Have unrestricted access to the licensee'sG relevant records; and
(d) Have ultimate recourse to the Board.
January 2011
(1 Version)
Jan 1 2011 onwards
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