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TC-2.1.6

A capital market licensee proposing to recruit an individual has to satisfy itself of his/her relevant qualifications and experience. The capital market licensee should:

(a) Take into account the knowledge and skills required for the role, in addition to the nature and the level of complexity of the controlled function; and
(b) Take reasonable steps to obtain sufficient information about the individual’s background, experience, training and qualifications.
Added: January 2022