AU-2.6.1

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

Investment firm licensees must maintain systems and controls that are, in the opinion of the BMA, adequate for the scale and complexity of their activities. These systems and controls must meet the minimum requirements contained in Modules HC (High Level Controls) and RM (Risk Management), as specified for the category of investment license held.