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959850
B: Approved persons & controlled functions
Description
CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C6: Principles & rules set out in reg. framework) Mind Map on B: Approved persons & controlled functions, created by Mark Varela on 01/06/2014.
No tags specified
r01 - financial services, regulation, and ethics
c6: principles & rules set out in reg. framework
cii - level 4 diploma
Mind Map by
Mark Varela
, updated more than 1 year ago
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Created by
Mark Varela
almost 10 years ago
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Resource summary
B: Approved persons & controlled functions
Authorised person
Annotations:
- business that carries on reg. activity
Approved person
Annotations:
- individual approved to carry out controlled function
controlled function
significant influence on conduct of an authorised person's affairs
governing function
systems & controls function
required function
significant mgmnt function
dealing with customers in connection with reg. activities
dealing with property of customers in connection with reg. activities
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