| 1. |
Rulebooks. VASPs must comply at all times with the following Rulebooks, as may be amended from time to time—
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a. |
Company Rulebook; |
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b. |
Compliance and Risk Management Rulebook; |
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c. |
Technology and Information Rulebook; and |
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d. |
Market Conduct Rulebook.
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| 2. |
VA Activity specific Rulebooks. In addition to the Rulebooks in Regulation V.1 above, VASPs must comply at all times with each of the following Rulebooks that correspond to the VA Activity[ies] it is Licensed to carry out, as may be amended from time to time—
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a. |
Advisory Services Rulebook; |
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b. |
Broker-Dealer Services Rulebook; |
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c. |
Custody Services Rulebook; |
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d. |
Exchange Services Rulebook; |
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e. |
Lending and Borrowing Services Rulebook; |
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f. |
VA Management and Investment Services Rulebook; and |
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g. |
VA Transfer and Settlement Services Rulebook.
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