ES-1.10.1

Past version: Effective from 18 Jul 2025 to 30 Jun 2007
To view other versions open the versions tab on the right

This Module provides detailed rules and guidance with respect to the holding of client assets by investment firm licensees. They are aimed at ensuring the proper protection of such assets, to restrict the risk of client assets being commingled with investment firm licensee assets (without clients' consent), or otherwise misused.