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The Financial Advisory and Intermediary Act places a lot of importance on the Compliance Officer position within the structures of a Financial Services Provider (FSP).
The Financial Advisory and Intermediary Act places a lot of importance on the Compliance Officer position within the structures of a Financial Services Provider (FSP). According to the Act, a Compliance Officer must be "fit and proper". Discuss the Five fit and proper requirements under the Act and explain the importance of these requirements in the in the context of risk management
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Employment Law For Business
Authors: Dawn Bennett Alexander, Laura P Hartman
6th Edition
978-0073377636, 73377635, 978-0077347383
