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Unit Standard No.12164Page 112

THE ROLE OF RECOGNISED INDUSTRY BODIES IN LICENSING AND APPROVAL OF COMPLIANCE OFFICERS

Apart from licencing FSP’s, recognised bodies who apply for this, will also be allowed to assist with the licencing and approval of Compliance Officers with the Financial Services Board.

As can be seen below, the Recognised Body acts as the “agent” to the Compliance Officer and provides the FSB with information about the applicant Compliance Officer, in exchange for a Compliance Practice Number.  The Compliance Officer needs this number as it is a requirement to get an FSP with more than one key individual licenced.

INSMAT final materials31/10/03

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