High Level Standards
- AU Authorisation
- PB Principles of Business
-
HC High-Level Controls Module
- HC-A Introduction
- HC-B Scope of Application
- HC-1 The Board
- HC-2 Approved Persons Loyalty
- HC-3 Audit Committee and Financial Statements Certification
- HC-4 Appointment, Training and Evaluation of the Board
- HC-5 Remuneration of Approved Persons
- HC-6 Management Structure
- HC-7 Communication between Board and Shareholders
- HC-8 Corporate Governance Disclosure
- HC-9 Islamic Investment Firm Licensees
- HC-10 Category 3 Investment Firm Licensees
- Appendix A Audit Committee
- Appendix B Corporate Governance Disclosure to Shareholders
- AA Auditors and Accounting Standards
-
GR General Requirements
- GR-A Introduction
- GR-B Scope of Application
- GR-1 Books and Records
- GR-2 Corporate and Trade Names
- GR-3 Dividends
- GR-4 Business Transfers
- GR-5 Controllers
- GR-6 Close Links
- GR-7 Cessation of Business
- GR-8 Appointed Representatives [This Chapter was deleted in October 2013]
- GR-9 Professional Indemnity Coverage
- GR-10 [This Chapter deleted 07/2007.]
- GR-10 Branches, Subsidiaries and Representative Offices