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ES-1.3.6

Past version: Effective from 01 Oct 2009 to 30 Sep 2013
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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) Deputy Money Laundering Reporting Officer (if any);
(g) Member of Shari'a Supervisory Board;
(h) Financial instruments trader; and
(i) Investment consultant or investment adviser.
Amended: October 2009
January 2007