stakeholders, key individuals, and external compliance officers To identify and brief key individuals and exco Representatives (RE5) First Level Regulatory Exam for Key Individuals (RE1) Please note that if you have not heard
stakeholders, key individuals, and external compliance officers To identify and brief key individuals and exco Representatives (RE5) First Level Regulatory Exam for Key Individuals (RE1) Please note that if you have not heard
complaints received from clients Maintain the key individual / representative register Ensure compliance
complaints received from clients Maintain the key individual / representative register Ensure compliance
complaints received from clients • Maintain the key individual / representative register • Ensure compliance
complaints received from clients Maintain the key individual / representative register Ensure compliance
complaints received from clients • Maintain the key individual / representative register • Ensure compliance
complaints received from clients Maintain the key individual / representative register Ensure compliance
and other info from candidate o Arrange for Key Individual sign-off before employment offer. On-boarding what etc. Manage fit and proper status of Key Individuals and Representatives o Create skills register resolution plan. · Succession plan relating to Key Individuals, shareholding, and operations / loss of a key
and other info from candidate o Arrange for Key Individual sign-off before employment offer. On-boarding what etc. Manage fit and proper status of Key Individuals and Representatives o Create skills register resolution plan. · Succession plan relating to Key Individuals, shareholding, and operations / loss of a key