TC-B.1.4
The requirements of this Module apply to
(a) Who are employed by the investment firm licensee in connection with the investment firm licensee's regulated investment services , whether under a contract of service or for services or otherwise;
(b) Whose services, under an arrangement between the investment firm licensee and a third party, are placed at the disposal and under the control of the investment firm licensee ; or
(c) Employed by the investment firm licensee , whether under a contract of service or for services or otherwise, for which that investment firm licensee has accepted responsibility.
Amended: July 2014
Amended: October 2013
Adopted: July 2010
Amended: October 2013
Adopted: July 2010