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Chapter 10 Ethics, corporate governance and internal controls 10/13

Self-test questions

1. Who do professional codes of conduct apply to?
2. What are the general requirements for a significant owner to be deemed ‘fit and proper’?
3. What is the significance of the risk management policy in relation to the risk management framework?
4. What are the roles of compliance and audit in the risk management framework?
5. What are the stages of an effective complaints procedure?

You will find the answers at the back of the book Chapter

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