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  • Additional Conditions

    • AU-2.8.6

      Investment firm licensees must comply with any other specific requirements or restrictions imposed by the CBB on the scope of their license.

      Amended: July 2007

    • AU-2.8.7

      When granting a license, the CBB specifies the regulated investment services that the licensee may undertake and the category of investment firm license granted. Licensees must respect the scope of their license. AU-5.4 sets out the process for varying the scope of an authorisation, should a licensee wish to undertake new regulated investment services.

      Amended: July 2007

    • AU-2.8.8

      In addition, the CBB may vary existing requirements or impose additional restrictions or requirements, beyond those already specified in Volume 4, to address specific risks.

      Amended: July 2007