Superseded Requirements
GR-A.2.3
This Module supersedes the following provisions contained in circulars or other regulatory instruments:
Circular Ref. Module Ref. Subject BS/07/2004 GR-1 Record-keeping requirements BC/8/2000 GR-5 Controllers of, and holdings and transfers of significant ownership or controlling interests in Agency licensees Standard Conditions & Licensing Criteria for Licensing for Investment Advisor/Broker GR-1, GR-9, GR-10 Books and Records; Professional Indemnity Insurance Standard Conditions & Licensing Criteria for Licensing Investment Advisor/Consultants GR-1, GR-9, GR-10 Books and Records; Professional Indemnity Insurance; License Fees. Standard Conditions & Licensing Criteria for Licensing Stockbroking Company GR-1, GR-9, GR-10 Books and Records; Professional Indemnity Insurance; License Fees. Standard Conditions & Standard Criteria for Licensing Broking Company GR-1, GR-9, GR-10 Books and Records; Professional Indemnity Insurance; License Fees. GR-A.2.4
Further guidance on the implementation and transition to Volume 4 (Investment Business) is given in Module ES (Executive Summary).
