4
Responsibility of Senior Personnel
4.1
[Deleted.]
- 03/01/2018
4.1A
A MiFID investment firm must extend the arrangements required by the Article 25 Senior Management Requirements so they apply with respect to the other matters on the following basis:
(1) references to “Directive 2014/56/EU” are references to “the regulatory system”; and
(2) references to “Articles 22, 23 and 24” are references to Compliance and Internal Audit and Risk Control.
- 03/01/2018
4.1B
A firm that is not a MiFID investment firm must comply with the Article 25 Senior Management Requirements on the basis set out in 4.1A and as if references to “investment firm” refer to a firm.
- 03/01/2018
4.2
[Deleted.]
- 03/01/2018