4.3.1

We may require a firm or Recognised Body to provide it with a report from a skilled person on specified matters, in circumstances where:

(a) we have concerns about the adequacy of systems and controls (such as compliance, internal audit, anti-money laundering, risk management and record keeping);
(b) we seek verification of information submitted by it; or
(c) we require remedial action to ensure the firm or Recognised Body complies with the laws.