Regulatory Alerts2017-01-04
Financial Services Rule Book 2016 – Obligations to keep registers
The Isle of Man Financial Services Authority issued this summary to outline the register-keeping obligations for licensees under the Financial Services Act 2008. The document details specific requirements for maintaining records on conflicts of interest, regulatory breaches, complaints, and pricing errors across various license classes. It assigns responsibility for these registers to compliance officers or professional officers depending on the specific rule and licensee category.
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