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TC-1.1.2

Paragraph TC-1.1.1 specifies the controlled functions that are common to all categories of capital market licensees under Volume 6. Controlled functions specific to each category of capital market licensee is specified in MAE, CSD, MIR, and CRA Modules. It is the responsibility of the capital market licensee to refer to the respective Module to ascertain whether a particular position is considered a controlled function or not.

Added: January 2022