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TC-1.1.4

Individuals occupying controlled functions (refer to Paragraphs AU-1.2.7 to AU-1.2.15) in an investment firm licensee must be qualified and suitably experienced for their specific roles and responsibilities. The controlled functions are those of:

(a) Director;
(b) Chief Executive or General Manager;
(c) Head of function;
(d) Compliance officer;
(e) Money Laundering Reporting Officer ('MLRO');
(f) [This Subparagraph was deleted in October 2013];
(g) Member of Shari'a Supervisory Board (where applicable);
(h) Financial instruments trader; and
(i) Investment consultant or investment adviser.
Amended: October 2013
Adopted: July 2010