Custom print

ES-1.3.6

Past version: Effective up to 30 Jun 2007
To view other versions open the versions tab on the right

Module AU also deals with the requirements and conditions for approved persons, i.e. those wishing to undertake a controlled function in an investment firm licensee. Controlled functions are those of:

(a) Director;
(b) Chief Executive or general manager;
(c) head of function;
(d) compliance officer;
(e) Money Laundering Reporting Officer;
(f) member of Shari'a Supervisory Board;
(g) financial instruments trader; and
(h) investment consultant or investment adviser.