TC-B.1.4
Past version: Effective from 01 Jul 2010 to 30 Sep 2013
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The requirements of this Module apply to
(a) Who are employed or appointed 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 or appointed by an appointed representative of that investment firm licensee , whether under a contract of service or for services or otherwise, in connection with the business of the appointed representative for which that investment firm licensee has accepted responsibility.
Adopted: July 2010