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  • TC-3 TC-3 Transitional Provisions

    • TC-3.1 TC-3.1 Transitional Period

      • TC-3.1.1

        The requirements of Module TC for investment firm licensees are effective from 1st July 2010.

        Adopted: July 2010

      • TC-3.1.2

        Where approved persons holding controlled functions are occupying positions within the investment firm licensee, do not meet the qualifications and core competencies outlined in Appendix TC-1 at the time of the issuance of Module TC, the investment firm licensee must ensure that such individuals will meet the requirements of Module TC by 31st December 2011 at the latest.

        Amended: October 2013
        Adopted: July 2010