Skip to content

According to Standard IV(C) Responsibility of Supervisors, if a compliance system is non-existent or if an existing compliance system is inadequate, a member should…

March 25, 2017

…not accept supervisory responsibility until the firm adopts reasonable procedures to allow adequate exercise of supervisory responsibilities.

Thus a charter holder or candidate should undertake a review prior to accepting a position with supervisory authority.

Advertisements
Leave a Comment

Leave a Reply

Fill in your details below or click an icon to log in:

WordPress.com Logo

You are commenting using your WordPress.com account. Log Out / Change )

Twitter picture

You are commenting using your Twitter account. Log Out / Change )

Facebook photo

You are commenting using your Facebook account. Log Out / Change )

Google+ photo

You are commenting using your Google+ account. Log Out / Change )

Connecting to %s

%d bloggers like this: