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  • Superseded Requirements

    • AA-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. Article 7 Auditors
      Standard Conditions and Licensing Criteria: broking company Article 6 Auditors
      Standard Conditions and Licensing Criteria: stockbrokerage Article 6 Auditors

    • AA-A.2.5

      Guidance on the implementation and transition to Volume 4 (Investment Business) is given in Module ES (Executive Summary).