GEN 5.4.9

Past version: effective from 21/10/2015 - 20/10/2015
To view other versions open the versions tab on the right

The Responsible Officer function is carried out by an individual who:

(a) has significant responsibility for the management of one or more aspects of an Authorised Person's affairs;
(b) exercises a significant influence on the Authorised Person as a result of (a); and
(c) is not an Employee of the Authorised Person.