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  • ES-1.15 ES-1.15 Module BR (CBB Reporting)

    • ES-1.15.1

      Module BR sets out requirements regarding prudential reporting to the CBB, as well as certain pre- and post-notification requirements. It also describes the information gathering powers of the CBB.

      Amended: July 2007

    • ES-1.15.2

      Module BR, amongst other things, prescribes quarterly prudential reporting to the CBB (Form QPR). All investment firm licensees are required to submit these: however, Category 3 investment firms are only required to complete a subset of the sections included in Form QPR.

      Amended: July 2007

    • ES-1.15.3

      Module BR also obliges all investment firm licensees to seek prior approval for certain events, including proposed changes in the licensee's name, legal status and controllers, as well as other events such as carrying out new regulated investment services or opening new offices overseas.

      Amended: July 2010
      Added: July 2007

    • ES-1.15.4

      Finally, Module BR also requires the post-notification of various events, such as breaches of CBB requirements; legal, regulatory or other proceedings being taken against the licensee; or instances of fraud, errors or other irregularities occurring, that could have a material impact on the licensee.

      Added: July 2007