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  • GR-6.1 GR-6.1 Key Provisions

    • GR-6.1.1

      Condition 3 of the CBB's licensing conditions specifies, amongst other things, that investment firm licensees must satisfy the CBB that their close links do not prevent the effective supervision of the licensee and otherwise pose no undue risks to the licensee. (See Paragraph AU-2.3.1).

      Amended: July 2007

    • GR-6.1.2

      Applicants for an investment firm license must provide details of their close links, as provided for under Form 1 (Application for a License). (See Paragraph AU-5.1.1).

    • GR-6.1.3

      Investment firm licensees must submit to the CBB, within 3 months of their financial year-end, a report on their close links. The report must identify all undertakings closely linked to the licensee, as defined in Section GR-6.2.

      Amended: July 2007

    • GR-6.1.4

      Investment firm licensees may satisfy the requirement in Paragraph GR-6.1.3 by submitting a corporate structure chart, identifying all undertakings closely linked to the licensee.

      Amended: July 2007

    • GR-6.1.5

      Investment firm licensees must provide information on undertakings with which they are closely linked, as requested by the CBB.

      Amended: July 2007