Controlled Functions (CFs)

CF1

Ability to exercise a significant influence on the conduct of the affairs of a regulated financial service provider

CF2

Ensuring, controlling or monitoring compliance by a regulated financial service provider with its relevant obligations

CF3

Giving of advice to a customer of the regulated financial service provider

CF4

Arranging a financial service for a customer of the regulated financial service provider

CF5

Assisting a customer in the making of a claim under a contract of insurance or reinsurance

CF6

Determining the outcome of a claim arising under a contract of insurance or reinsurance

CF7

Management or supervision of those persons undertaking CF3 to CF6 roles

CF8

Adjudicating on any complaint communicated to a regulated financial service provider by a customer

CF9

Insurance and reinsurance intermediaries who direction and manage the undertaking or are directly involved in insurance or reinsurance mediation

CF10

Dealing in or having control over property of a customer of the regulated financial service provider

CF11

Dealing in or with property on behalf of the regulated financial service provider