Transcription of RE 1 - First Level Regulatory Examination - …
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RE 1 - First Level Regulatory Examination - …
COMPLIANCE MONITORING SYSTEMS CCRE 1: First Level Regulatory Examination : applicants And/Or Key Individuals In Category I, II, IIA and III Alan Holton December 2009 The First Level Regulatory Examination will be developed taking into account that applicants and key individuals are required to understand the FAIS Act, the FIC Act, and the subordinate legislation to the FAIS Act that applies to the category or subcategory for which they are authorised, approved or appointed Page 2 of 13 RE 1 First Level Regulatory Examination applicants AND/OR KEY INDIVIDUALS IN CATEGORY I, II, IIA AND III (1) The First Level Regulatory Examination will be developed taking into account that applicants and key individuals are required to understand the FAIS Act, the FIC Act, and the subordinate legislation to the FAIS Act that applies to the category or subcategory they are authorised, approved or appointed for.
COMPLIANCE MONITORING SYSTEMS CC RE 1: First Level Regulatory Examination: Applicants And/Or Key Individuals In Category I, II, IIA and III
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