TC-1.1.13

Versions

Jul 01 2010 - Dec 31 2010
Jan 01 2011

Past version: Effective from 01 Jul 2010 to 31 Dec 2010
To view other versions open the versions tab on the right

Individuals holding the position of compliance officer in an investment firm licensee must hold relevant experience and qualifications as outlined in Appendix TC-1 as a minimum.

Adopted: July 2010

Location:

TC-1.1.13