The Rules and Guidance in this Section seek to:

(a) Assist the Capital Market Service Provider to design and implement AML/CFT control measures by providing a common understanding of what the RBA encompasses; and
(b) Outline the recommended steps involved in applying the RBA. In the event a Capital Market Service Provider has developed its own RBA, the adopted RBA must be able to achieve the outcomes intended under this Section.
Added: January 2020