Citation Audit

Citation: Article 9 2. ¶ 2 – The internal policies, procedures and controls set out in the first subparagraph shall be recorded in writing. Internal policies shall be approved by the management body in its management function. Internal procedures and controls shall be approved at least at the level of the compliance manager.

Control: CC ID 807 – Define and assign the Board of Directors roles and responsibilities and senior management roles and responsibilities, including signing off on key policies and procedures.