(1) Responsibility for a
Relevant Person's compliance with this module lies with every member of its senior management.
(2) In carrying out their responsibilities under this module every member of a
Relevant Person's senior management must exercise due skill, care and diligence.
(3) Nothing in this Rule precludes the
DFSA from taking enforcement action against any person including any one or more of the following persons in respect of a breach of any Rule in this module:
(b) members of a
Relevant Person's senior management; or
Employee of a Relevant Person.
Derived from RM117/2013 [VER9/07-13]