Transcription of Qualified - EY
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Qualified - EY
Qualified Intermediary (QI). Compliance program design and assessment New QI requirements The new compliance requirements propose challenging issues for responsible officers (ROs). QI ROs will need to respond quickly to the mandates of the proposed QI Agreement, which is scheduled to become effective 1 January 2017. Although changes to the proposed language are possible, the thrust of the main provisions was present in the 2014 version of the QI Agreement and thus is likely to remain. The QI Agreement requires that ROs submit the result of a current QI's first compliance review by 1 July 2018 (this date may vary depending upon the effective date of the QI's Agreement).
New QI requirements The new compliance requirements propose challenging issues for responsible officers (ROs). QI ROs will need to respond quickly to the
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