Introduction
Effective from Feb 07 2023 - Feb 06 2023
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Part I of this Compliance and Risk Management Rulebook sets out:
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| • | General principles for regulatory compliance; | |||
| • | The implementation of a compliance management system including appointing a Compliance Officer [CO]; | |||
| • | Management, operations and information risk; | |||
| • | Record keeping and audit; and | |||
| • | Employee management and training. |
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