GEN 5.3.19 Guidance

Past version: effective up to 17/06/2006
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When assessing the fitness and propriety of individuals, the Authorised Firm should satisfy itself that the conditions set out in AUT section A1.3 continue to apply as appropriate and should monitor conflicts or potential conflicts of interest arising from all of the individual's links and activities.


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