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  • General Requirement

    • C4-1.3.1

      Category 4 investment firms must obtain the CBB’s prior written approval for any person wishing to undertake a controlled function in the licensee.

      Added: January 2022

    • C4-1.3.2

      Controlled functions are those of:

      (a) Director;
      (b) Chief Executive, General Manager, Managing Partner or Co-CEO;
      (c) Head of function;
      (d) Compliance officer;
      (e) Money Laundering Reporting Officer; and
      (f) Investment consultant or investment adviser.
      Added: January 2022

    • C4-1.3.3

      Prior approval is required for all controlled functions mentioned in Paragraph C4-1.3.2. Minimum controlled functions required to be appointed and their combinations are subject to the requirements contained Chapter C4-2 of this Module.

      Added: January 2022