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Application provision

4.1 This Chapter applies to a firm that falls within 1.1 and is a large firm

4.1

10/12/2018

This Chapter applies to a firm that falls within 1.1 and is a large firm

4.2

10/12/2018

A firm must identify, in respect of the firm, its employees who are material risk takers.

4.3

10/12/2018

firm must keep its identification of material risk takers pursuant to 4.2 up-to-date.

4.4

10/12/2018

firm must keep a record of its reasoning for the identification of material risk takers pursuant to 4.2.