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TC-B.1.6

In implementing this Module, investment firm licensees must ensure that:

(a) Individuals recruited by the investment firm licensee to perform a controlled function hold suitable qualifications and experience appropriate to the nature of the business;
(b) Individuals performing a controlled function remain competent for the work they do; and
(c) Individuals performing a controlled function are appropriately supervised.
Amended: October 2013
Adopted: July 2010