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MIR-A.1.4

Persons or entities undertaking any regulated activities or functions require prior CBB licensing and/or authorisation. MIR-B.2 provides the definitions for members which are impacted by this Module. These include, but are not limited to entities providing the following regulated activities:

(a) Undertaking or providing services related to arranging or trading in securities, whether as principal or as an agent;
(b) Undertaking or providing any services related to the clearing, settlement of securities transactions, whether as principal or agent;
(c) Undertaking or providing services related to the depositing of securities with a licensed depository.
Adopted January 2010