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  • AA-2.1 AA-2.1 CBB Access to Auditors

    • AA-2.1.1

      Investment firm licensees must waive any duty of confidentiality on the part of their auditors, such that their auditors may report to the CBB any concerns held regarding material failures by the investment firm licensee to comply with CBB requirements.

      Amended: January 2007

    • AA-2.1.2

      The CBB may, as part of its on-going supervision of investment firm licensees, request meetings with a licensee's auditors. If necessary, the CBB may direct that the meeting be held without the presence of the licensee's management or Directors.

      Amended: January 2007