MANDATE 4.0.3 Phase 2 Technical Specifications

Appendix B: Mandatory Compliance Protocols

Section 1: Mandatory Compliance Protocols for Non-Compliance

Section 2: Mandatory Compliance Protocols for Compliance Officers

Section 3: Mandatory Compliance Protocols for Compliance Auditors

Appendix C: Non-Mandatory Compliance Guidelines

Section 1: Non-Mandatory Compliance Guidelines for Non-Compliance Officers

Section 2: Non-Mandatory Compliance Guidelines for Compliance Officers

Section 3: Non-Mandatory Compliance Guidelines for Compliance Auditors

Section 4: Non-Mandatory Compliance Guidelines for Non-Auditors

Section 5: Non-Mandatory Compliance Guidelines for Unspecified Entities

Appendix D: Unspecified Protocols

Section 1: Unspecified Protocols for Unspecified Entities

Section 2: Unspecified Protocols for Unspecified Purposes

Section 3: Unspecified Protocols for Unspecified Entities (continued)