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The purpose of the annual compliance review is to assist a licensee'sG Board and senior management to assess, amongst other things, whether internal and external reports are being made (as required under Chapter FC-5), and whether the overall number of such reports (which may otherwise appear satisfactory) does not conceal inadequate reporting in a particular segment of the licensee'sG business (or, where relevant, in particular branches or subsidiaries). LicenseesG should use their judgement as to how the reports listed under Subparagraphs FC-4.3.1 (a) and (b) should be broken down in order to achieve this aim (e.g. by branches, departments, product lines, etc).

October 2010
(1 Version)
Oct 1 2010 onwards
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