GEN 5.3.2

Past version: effective from 18/06/2006 - 04/07/2012
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An Authorised Person must implement clear reporting lines that take into account the nature, scale and complexity of its business. These reporting lines, together with clear management responsibilities, must be communicated to all Employees and documented within the Authorised Person. If it is an Authorised Firm, it must also clearly identify the Employees who will be delivering Financial Services to its customers, and their respective lines of accountability and supervision.


Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER10/06-06]