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Policy & ProcedureFee Policy 202324Policy AreaFinanceVersion Number01Approving CommitteeSMTDate of ApprovalFeb 23Date of Equality Impact AssessmentAugust 2020Date of Next ReviewNovember 2023Responsible
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A responsible senior manager is an individual who holds a high-level managerial position within an organization and is accountable for ensuring compliance with regulatory requirements and overseeing the effective implementation of company policies.
Typically, the senior executives such as the CEO, CFO, or other designated individuals in charge of compliance-related functions are required to file as responsible senior managers.
To fill out the responsible senior manager form, gather all required information, including personal details, role in the organization, and compliance history, and complete the designated sections according to the provided guidelines.
The purpose of the responsible senior manager filing is to ensure accountability within an organization for compliance with regulations and to provide transparency regarding management oversight.
The report typically requires information such as the manager's name, position, responsibilities, compliance history, and any relevant incidents or issues that may affect regulatory standing.
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