2
Certification Functions
2.1
For the purposes of this Part, the following are certification functions:
- (1) a function performed for a firm by a key function holder at the firm;
- (2) a function performed by a material risk taker at a large firm.
- 10/12/2018
2.2
A function is only a certification function to the extent that the function relates to a regulated activity carried on by a firm.
- 10/12/2018