INDI 2.1.6 Principle 5 — appropriate priority for management and compliance
If the individual is a member of the firm's senior management, he or she must give appropriate priority to his or her management responsibilities, and must ensure that the business for which he or she is responsible:
(a) is effectively supervised and controlled; and
(b) complies with the requirements of the regulatory system.
|Derived from QFCRA RM/2014-5 (as from 1st January 2015)|