The Board Resolution For Appointment Of Compliance Officer is a crucial corporate governance document used when a company needs to formally appoint a Compliance Officer in accordance with South African regulatory requirements. This document becomes necessary either when establishing a new compliance function, replacing an existing Compliance Officer, or formalizing an acting appointment. The resolution must comply with the Companies Act 71 of 2008, relevant industry-specific regulations, and where applicable, requirements set out by bodies such as the Financial Sector Conduct Authority (FSCA). It typically includes details of the appointment, scope of authority, reporting lines, and key responsibilities, serving as an official record of the board's decision and the compliance function's mandate within the organization.
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1. Title and Date: Formal title of the resolution and date of the board meeting
2. Attendance and Quorum: List of directors present and confirmation of meeting quorum requirements
3. Background: Context for the appointment, including regulatory requirements and company needs
4. Resolutions: Formal appointment decision and key terms, including appointee's name and effective date
5. Duties and Responsibilities: Core responsibilities and authority of the Compliance Officer
6. Reporting Structure: Direct reporting lines and accountability framework
7. Access to Information: Authority to access necessary company information and resources
8. Certification: Signatures of the chairperson and/or company secretary confirming the resolution
1. Remuneration: Details of compensation package, used when the board is also approving remuneration terms
2. Committee Memberships: Specification of any committee roles, if the Compliance Officer will serve on board committees
3. Industry-Specific Requirements: Additional responsibilities based on specific industry regulations (e.g., financial services, insurance)
4. Delegation Authority: Powers to delegate certain functions to other staff members, if applicable
5. Term of Appointment: If the appointment is for a fixed term rather than permanent
6. External Reporting Obligations: Specific regulatory reporting requirements, particularly relevant for listed companies
1. Schedule A - Detailed Compliance Officer Duties: Comprehensive list of specific duties and responsibilities
2. Schedule B - Relevant Company Policies: List of key policies the Compliance Officer will oversee
3. Schedule C - Regulatory Framework: Summary of applicable laws and regulations
4. Appendix 1 - Appointee's Qualifications: Documentation of the appointed person's qualifications and experience
5. Appendix 2 - Compliance Structure: Organizational chart showing compliance function structure
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Mining
Healthcare
Telecommunications
Real Estate
Manufacturing
Retail
Energy
Technology
Professional Services
Gaming and Gambling
Transportation and Logistics
Education
Relevant Teams
Legal
Compliance
Risk Management
Corporate Governance
Internal Audit
Executive Leadership
Board Secretariat
Regulatory Affairs
Relevant Roles
Chief Compliance Officer
Compliance Officer
Legal Director
Company Secretary
Chief Executive Officer
Board Director
Chief Risk Officer
Head of Governance
Corporate Governance Manager
Regulatory Affairs Manager
General Counsel
Chief Legal Officer
Risk and Compliance Manager
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