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4.1. Management structure
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Financial oversight
Prudential supervision
Areas of responsibility
Stockbroking firms
Governance manual for stockbroking firms
4. Appropriate organisation of the business
4.1. Management structure
4.1. Management structure
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4.1.1 General requirements
4.1.2. Statutory governing body
4.1.2.1. Composition
4.1.2.2. Tasks
4.1.3. Senior management (or, where applicable, the management committee)
4.1.3.1. Composition
4.1.3.2. Tasks
4.1.3.3. Functioning
4.1.3.4. Derogations
4.1.4. Specialised committees
4.1.4.1. General information
4.1.4.2. Composition
4.1.4.3. Tasks
4.1.4.4. Functioning
4.1.4.5. Derogations for small stockbroking firms
4.1.4.6. Group context
