Part

Skills, Knowledge and Expertise

Chapter

Segregation of Functions

Printed on: 29/04/2024

Rulebook at: 29/06/2018

3

Segregation of Functions

3.1

[Deleted.]
  • 03/01/2018

3.2

A firm must ensure that its senior personnel define arrangements concerning the segregation of duties within the firm and the prevention of conflicts of interest.

[Note: Art. 88 of the CRD and Art. 9(1) of MiFID II]

  • 03/01/2018