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  • RM-B.1 RM-B.1 License Categories

    • RM-B.1.1

      The contents of this Module — unless otherwise stated — apply to Category 1 and Category 2 investment firms only.

      Adopted: July 2007

    • RM-B.1.2

      Category 3 investment firms — unless otherwise stated — are exempted from the requirements of this Module with the exeption of Chapters RM-7 and RM-8.

      Amended: October 2009
      Adopted: July 2007

    • RM-B.1.3

      In respect of Category 3 investment firms, however, the specific requirements contained in Module RM should be considered as good practice, which it may be appropriate to apply. Notwithstanding the exemption from the specific requirements of Module RM, specified in Rule RM-B.1.2, Category 3 investment firms are nonetheless required to maintain adequate systems and controls (see Sections AU-2.6 and PB-1.10).

      Adopted: July 2007