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EXPLANATORY NOTES - Associated Compliance

EXPLANATORY NOTES . THE ROLE OF THE KEY INDIVIDUAL. An FSP is usually a juristic entity, and where this is the case the business is carried on by people. These people can be divided into three categories, being: key individuals;. representatives; and administration staff. These NOTES deal with key individuals. Before we can look at the roles and responsibilities of key individuals in terms of the Act, we must consider who should be appointed as a key individual. The Financial Services Board has issued guidance NOTES in this regard, which are published on its website For ease of reference the guidance NOTES are repeated hereunder in italics.

3 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.

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