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  • ES-1.7 ES-1.7 Module GR (General Requirements)

    • ES-1.7.1

      Module GR covers requirements dealing with areas not covered in other Modules. The areas covered are:

      (a) Books and records;
      (b) Corporate and trade names;
      (c) Dividends;
      (d) Business transfers;
      (e) Controllers;
      (f) Close links;
      (g) Cessation of business;
      (h) [This Subparagraph was deleted in October 2013]; and
      (i) Professional indemnity coverage.
      Amended: October 2013
      Amended: July 2010
      Amended: January 2007

    • ES-1.7.2

      The above requirements apply to all categories of investment firm licensee, except for the requirements related to the payment of dividends, which apply to Category 1 investment firms and Category 2 investment firms and the professional indemnity requirement, which applies to Category 2 investment firms and Category 3 investment firms only.

      Amended: July 2010