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Investment firm licenseesG that hold or control client assetsG (including where it pools financial instruments held for more than one clientG ) must arrange for their external auditor to report on the licensees' compliance with the requirements contained in this Module. Investment firm licenseesG Category 1 and Investment firm licenseesG Category 2 which do not hold or control Client Assets are obligated to confirm the same annually.

Amended: October 2017
Amended: July 2008
(3 Versions)
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