CA-1.1.8

Past version: Effective from 01 Oct 2009 to 30 Jun 2015
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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: October 2009
Amended: January 2007