The Capital Markets (Corporate Governance) (Market Intermediaries) Regulations

27. Responsibility for internal controls

Edition: 2022-12-31 · In force

(1)The board shall be responsible for the market intermediary’s system of internal controls.

(2)The board shall establish and monitor appropriate policies on internal controls and satisfy itself that the system is functioning effectively.

(3)The board shall develop procedure manuals to implement its policies and controls.