Citation Audit

Citation: Article 13 2. – Employees, or persons in comparable positions, including agents and distributors, entrusted with tasks related to the obliged entity's compliance with this Regulation, Regulation (EU) 2023/1113 and any administrative act issued by any supervisor, shall inform the compliance officer of any close private or professional relationship established with the obliged entity's customers or prospective customers and shall be prevented from undertaking any tasks related to the obliged entity's compliance in relation to those customers.

Control: CC ID 14785 – Establish, implement, and maintain a conflict of interest policy.