Search results with tag "Fit and proper"
The “Fit an d Proper” Test
www.fsc.org.aiGuidelines Fit and Proper Test Page 2 of 7 financial soundness, business plans and the appropriateness and acceptability of an applicant and a licence holder’s proposed sources of business, products and services.
DUE DILIGENCE CHECKS AND DOCUMENTATION IN …
www.mas.gov.sgMonetary Authority of Singapore Annex 1 Fit and Proper Declaration 1 As set out in MAS’ Guidelines on Fit and Proper Criteria [“the Guidelines”],
FSP13 - Application as Compliance Officer - cmsys.co.za
www.cmsys.co.zaForm FSP 13C - Page 5 of 6 Name of compliance officer 3. Questions 3.1 Fit and proper requirements – honesty and integrity questions If the answer to any of these questions is YES, provide full details and attach to the application form and signed by the
2012 MTC LEARNER ORIENTATION MANUAL - …
www.mtc.co.zaLearner Orientation Manual 4 Masifunde Training Centre 2015/2016 “Fit and Proper” FAIS Act Fit and Proper Requirements
APPOINTMENT OF DIRECTOR , CHAIRMAN AND KEY …
www.mas.gov.sgAppointment of Director, Chairman and Key Executive Person 4 Part II - Guidelines Fit and Proper Policy 10. Every licensed insurer should have in place a policy approved by the board of
EXPLANATORY NOTES - Associated Compliance
www.associatedcompliance.co.za3 individuals remain fit and proper; individuals to sign a new honesty and integrity statement. If it proves clear, we merely file it on the personnel file.
Fit and Proper test for Employees and Senior Personnel ...
www.handbook.fca.org.ukFIT 1 : General Section 1.2 : Introduction 1 1.2.-1 G 1.2.1 G 1.2.1A G 1.2.1B G 1.2.1C G FIT 1/4 www.handbook.fca.org.uk Release 16 Feb 2022 1.2 Introduction Under section 60A(1) of theAct, before afirmmay make an application for theFCA'sapproval of acontrolled functionthefirmmust be satisfied that thepersonfor whom the application is made is a fit and properpersonto
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