A compliance officer of the credit institution or financial institution reports directly to the management board of the credit institution or financial institution and has the competence, means and access to relevant information across all the structural units of the credit institution or financial institution. Tehingukorralduse tühistamise eelduseks on, et korraldus jõutakse tühistada enne, kui see on turul täidetud. Kohe pärast ostu- või müügikorralduse laekumist broneerib pank vastavalt kas ostusumma ja teenustasu kliendi arvelduskontol või müüdavad väärtpaberid väärtpaberikontol. Samal päeval aktsia hind tõuseb ning soovite osa aktsiatest müüa enne ostukorralduse väärtuspäeva saabumist.
At the request of the competent supervisory authority, the obliged entity submits the documents prepared on the basis of this section to the supervisory authority.
Division 2 Risk Management System of Obliged Entity Rules of procedure and internal control rules 1 The obliged person establishes rules of procedure that allow for effective mitigation and management of, inter alia, risks relating to money laundering and terrorist financing, Bitcoin Options Trading Reddit are identified in the risk assessment prepared in accordance with § 13 of this Act. To follow the rules of procedure, the obliged entity establishes internal control rules that describe the internal control system including the procedure for the implementation of internal audit and, where necessary, compliance control, which sets out, inter alia, the procedure for employee screening.
The obliged entity must regularly check if the established rules of procedure and the internal control rules are up to date and, where necessary, establish new rules of procedure and internal control rules or make required modifications therein.
In training, information, inter alia, on the duties and obligations provided for in the rules of procedure, modern methods of money laundering and terrorist financing and the related risks, the personal data protection requirements, on how to recognise acts related to possible money laundering or terrorist financing, and instructions for acting in such situations must be given.
Upon making a decision, the competent supervisory authority takes account of the national risk assessment, the nature, Personal Finance Share Option Tehingud and level of complexity of the obliged entity Personal Finance Share Option Tehingud whether the specific risks related to the obliged person are small or effectively managed in accordance with this Act, legislation adopted on the basis thereof and instructions of competent supervisory authorities.
Management of risks in group 1 Upon application of § 14 of this Act it is expected that an obliged entity that is the parent undertaking of a group applies group-wide rules of procedure and the internal control rules for controlling adherence thereto regardless of whether all the undertakings of the group are located in one country or in different countries.
Cooperation and exchange of information Obliged entities cooperate with one another and with state supervisory and law enforcement authorities in preventing money laundering and terrorist financing, thereby communicating information available to them and replying to queries within a reasonable time, following the duties, obligations and restrictions arising from legislation. Appointment of management board member in charge and compliance officer 1 Where the obliged entity has more than one management board member, the obliged entity appoints a management board member who is in charge of implementation of this Act and legislation and guidelines adopted on the basis thereof.
A compliance officer of the credit institution or financial institution reports directly to the management board of the credit institution or financial institution and has the competence, means and access to relevant information across all the structural units of the credit institution or financial institution.
Where a structural unit performs the duties of a compliance officer, the head of the respective structural unit is responsible for performance of the given duties. The Financial Intelligence Unit and the competent supervisory authority are informed of the appointment of a compliance officer.
The appointment of a compliance officer Personal Finance Share Option Tehingud coordinated with the Financial Intelligence Unit. Where the duties of a compliance officer are performed by a structural unit, the provisions of this subsection are applied to each employee of the structural unit. Chapter 3.