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Part A

Table of Contents
  Module Title Module
Code
Date last
changed
 
Introduction User's Guide UG Oct 16 PDF Version
Executive Summary ES Oct 14 PDF Version
High Level
Standards
Authorisation AU Oct 19 PDF Version
Principles of Business PB Jan 11 PDF Version
High Level Controls HC Oct 17 PDF Version
Auditors and Accounting Standards AA Apr 18 PDF Version
General Requirements GR Jul 19 PDF Version
Business Standards Capital Adequacy CA Oct 19 PDF Version
Business Conduct BC Jan 19 PDF Version
Client Assets CL Jan 18 PDF Version
Risk Management RM Apr 19 PDF Version
Financial Crime FC Oct 19 PDF Version
Training and Competency TC Jan 16 PDF Version
Digital Financial Advice DA Apr 19 PDF Version
Reporting Requirements CBB Reporting BR Oct 19 PDF Version
Public Disclosure PD (to be issued) PDF Version
Enforcement &
Redress
Enforcement EN Oct 19 PDF Version
Compensation CP (to be issued) PDF Version
Sector Guides Category 1 licensees C1 (to be issued) PDF Version
Category 2 licensees C2 (to be issued) PDF Version
Category 3 licensees C3 (to be issued) PDF Version
Islamic Investment Firms IF (to be issued) PDF Version

 

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