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  • Director

    • TC-1.1.6 [deleted]

      [Paragraph deleted in January 2011].

      Deleted: January 2011

    • TC-1.1.7

      The role of the director is to be accountable and responsible for the management and performance of the licensee, and is outlined in more details in Section HC-1.2.

      Amended: April 2011
      Adopted: July 2010

    • TC-1.1.8

      When taken as a whole, the board of directors of an investment firm licensee must be able to demonstrate that it has the necessary expertise, as outlined in Paragraph HC-1.2.4.

      Amended: April 2011
      Adopted: July 2010