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  • Superseded Requirements

    • AU-A.2.4

      This Module supersedes the following provisions contained in circulars or other regulatory instruments:

      Circular/other reference Provision Subject
      Standard Conditions and Licensing Criteria: investment advisers/brokers. All articles Scope of license and licensing conditions.
      Standard Conditions and Licensing Criteria: broking company All articles Scope of license and licensing conditions.
      Standard Conditions and Licensing Criteria: stockbrokerage All articles Scope of license and licensing conditions.
      Circular BC/11/98, dated 27/7/98 All articles Appointment and suitability of Directors and senior managers ('fit and proper').
      Amended: July 2007

    • AU-A.2.5

      Further guidance on the implementation and transition to Volume 4 (Investment business) is given in Module ES (Executive Summary).

      Amended: July 2007