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  • IIS Reporting Requirements

    • BR-1.4.12

      Investment firm licensees are required to complete online non-financial information related to their institution by accessing the CBB's institutional information system (IIS). Investment firm licensees must update the required information at least on a quarterly basis or when a significant change occurs in the non-financial information included in the IIS. If no information has changed during the quarter, the investment firm licensees must still access the IIS quarterly and confirm the information contained in the IIS. Licensees must ensure that they access the IIS within 20 calendar days from the end of the related quarter and either confirm or update the information contained in the IIS.

      Amended: January 2013
      Adopted: January 2011

    • BR-1.4.13

      Investment firm licensees failing to comply with the requirements of Paragraph BR-1.4.12 or reporting inaccurate information are subject to financial penalties or other enforcement actions as outlined in Module (EN) Enforcement.

      Amended: April 2011
      Adopted: January 2011

    • BR-1.4.14

      Investment firm licensees must submit to the CBB at least three weeks prior to the prudential meeting date, all compliance reports issued since the last prudential meeting along with status updates on resolved and pending issues.

      Added: July 2023