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CA-1.1.1

In accordance with Principle of Business 9 (cf. Section PB-1.9), investment firm licensees must maintain adequate human, financial and other resources sufficient to run their business in an orderly manner. This includes meeting the minimum capital requirements specified in Section CA-1.2 onwards and maintaining, at all times, a level of financial resources commensurate with the nature, size and complexity of their business.

Amended: October 2019