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  • PB-B.2 PB-B.2 Non-compliance

    • PB-B.2.1

      Breaching a Principle of Business makes the investment firm licensee or approved person concerned liable to enforcement action. In the case of a licensee, this may call into question whether they continue to meet the licensing conditions (see Chapter AU-2). In the case of an approved person, this may call into question whether they continue to meet the "fit and proper" requirements for the function for which they have been approved (see Chapter AU-3).

    • PB-B.2.2

      Module EN (Enforcement) sets out the CBB's policy and procedures on enforcement action.

      Amended: January 2007