AU-B.2 AU-B.2 Licensees and Authorised Persons
AU-B.2.1
Various requirements in Chapters AU-2 to AU-5 inclusive also apply to persons once they have been authorised by the CBB (whether as
licensees orapproved persons ).Amended: July 2007AU-B.2.2
Chapter AU-2 applies to
investment firm licensees (not just applicants), since licensing conditions have to be met on a continuous basis bylicensees . Similarly, Chapter AU-3 applies toapproved persons on a continuous basis; it also applies toinvestment firm licensees seeking anapproved person authorisation. Chapter AU-5 contains requirements applicable tolicensees , with respect to the starting up of their operations, as well as tolicensees andapproved persons , with respect to the amendment or cancellation of their authorised status. Finally, Section AU-6.2 imposes annual fees onlicensees .Amended: July 2007
