Question: SELECT THE CORRECT ANSWER In addition to appointing a Compliance Officer and obtaining FSCA's approval for such appointment, which of the following are other compliance

SELECT THE CORRECT ANSWER
In addition to appointing a Compliance Officer and obtaining FSCA's approval for such appointment,
which of the following are other compliance-related FAIS obligations PIC has?
Send out weekly e-mails to all Representatives who work at PIC detailing
the results of the compliance that they monitor.
Maintain records for a minimum period of one year regarding cases of non-compliance
with the Act, and the reasons thereof.
Resource the Compliance Function adequately, to monitor compliance
and provide independent assurance.
SELECT THE CORRECT ANSWER In addition to appointing a Compliance Officer

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