High Level Standards
-
AU Authorisation
- AU-A Introduction
- AU-B Scope of Application
- AU-1 Authorisation Requirements
- AU-2 Licensing Conditions
- AU-3 Approved Persons Conditions
- AU-4 [This Chapter deleted 07/2007]
- AU-5 Information Requirements and Processes
- AU-6 License Fees
- Appendix AU-1: Requirements for Regulated Investment Services Involving Crypto Assets
- PB Principles of Business
- HC High-Level Controls
- 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