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  • EN-2.3 EN-2.3 Procedure

    [The Content of this Section was moved to Section BR-3.5 in October 2011]

    • EN-2.3.1

      All proposals for to appoint investigators require approval by an Executive Director or more senior official of the CBB. The appointment will be made in writing, and made directly with the investigators concerned. A separate letter is sent to the licensee, notifying them of the appointment. At the CBB's discretion, a trilateral meeting may be held at any point, involving the CBB and representatives of the licensee and the investigators, to discuss any aspect of the investigation.

      Amended: October 2009
      Adopted: January 2007

    • EN-2.3.2

      Following the completion of the investigation, the CBB will normally provide feedback on the findings of the investigation to the investment firm licensee concerned.

      Adopted: January 2007