AU-3.1.3
Past version: Effective from 01 Jul 2007 to 31 Dec 2015
To view other versions open the versions tab on the right
To be considered 'fit and proper', those nominated must demonstrate:
(a) Personal integrity, honesty and good reputation;
(b) Professional competence, experience and expertise, sufficient for the controlled function for which authorisation is being applied for, and given the scale, complexity and nature of the investment firm licensee concerned; and
(c) Financial soundness.
Amended: July 2007