GEN 3.3.2

(1) An Authorised Person must establish and implement, taking due account of the nature, scale and complexity of its business and structure, adequate measures to ensure that:
(a) the roles and responsibilities assigned to its Governing Body and the members of that body, senior management and Persons Undertaking Key Control Functions are clearly defined;
(b) there are clear reporting lines applicable to the individuals undertaking those functions; and
(c) the roles, responsibilities and reporting lines referred to in (a) and (b) are documented and communicated to all relevant Employees.
(2) An Authorised Person must ensure that any Employee who will be delivering Regulated Activities to its Customers is clearly identified, together with his respective lines of accountability and supervision.
(3) An Authorised Person which is conducting Investment Business or the Regulated Activities of Acting as the Administrator of a Collective Investment Fund or Providing Trust Services must ensure it makes publically available details of any Employee who delivers Regulated Activities to its Customers, by including such information:
(a) in a register, maintained by the Authorised Person at its place of business and open for inspection during business hours; or
(b) on the website of the Authorised Person.
(4) An Authorised Person referred to in (3), must have complete and up to date information on its register or website, including:
(a) the date on which the relevant Employee commenced delivering of Regulated Activities to Customers; and
(b) the Regulated Activities which that Employee is permitted by the Authorised Person to deliver to Customers.