Who is personally liable if there is a compliance violation? The Compliance deparment or the whole company?

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Jayasena Keerthi Bandara
04-October-2016

Compliance Management

Question added by Mohamad Faizal Abdul Sani , Senior Manager, Compliance Governance , RHB Banking Group
Date Posted: 2014/05/12

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1 Answers

by Amr Sager , VP Investor Relations and Interim CFO , Shaker Group (listed)

To the regulator the company is liable

to the company the compliance department is liable.

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