‹ DA-4.1.4 C4-A Introduction › Category 4 Investment Firms C4-A Introduction C4-A.1 Purpose and Scope C4-A.2 Module History C4-1 Authorisation Requirements C4-1.1 Licensing Conditions C4-1.2 Licensing Process C4-1.3 Approved Persons C4-2 High-Level Controls C4-2.1 Board and Management Structure C4-2.2 Auditor Requirements C4-3 Operating Requirements C4-3.1 Overarching Principles C4-3.2 Disclosure Requirements C4-3.3 Client Assets C4-3.4 Customer Complaints Procedures C4-4 Risk Management C4-4.1 Risk Governance C4-4.2 Risk Management Framework C4-4.3 Outsourcing Risk C4-5 CBB Reporting C4-5.1 Prudential Reporting C4-5.2 Notification and Approval Requirements C4-5.3 Information Gathering by the CBB ‹ DA-4.1.4 C4-A Introduction ›
