GEN 5.5.1

Past version: effective from 21/10/2015 - 20/10/2015
To view other versions open the versions tab on the right

(1) An Authorised Person must, subject to (2), make the following appointments and ensure that they are held by one or more Approved Persons or Recognised Persons at all times:
(a) Senior Executive Officer;
(b) Finance Officer;
(c) Compliance Officer; and
(d) Money Laundering Reporting Officer.
(2) An Authorised Person which is a Credit Rating Agency:
(a) need not make the appointments referred to in (1)(b) and (d); and
(b) must ensure that the appointments referred to in (1)(a) and (c) are held by separate persons at all times.