CA-1.1.7

Past version: Effective from 01 Jul 2007 to 30 Sep 2009
To view other versions open the versions tab on the right

In addition to the requirements contained in this Module, investment firm licensees will also be subject to qualitative high-level controls and risk management requirements, in Modules HC (High Level Controls) and RM (Risk Management) (to be issued later in 2007, as part of the second phase release of Volume 4). Some of these requirements are relevant to the capital requirements in this Module.

Amended: January 2007