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  • Carrying out Business in Another Jurisdiction

    • BR-2.2.12

      Where another jurisdiction's laws or regulations prevent a licensee (or any of its foreign branches or subsidiaries) from applying the same standards contained in Module FC (Financial Crime) or higher, the licensee must immediately inform the CBB in writing (ref. FC-B.2.2).

      Amended: October 2009
      Adopted: July 2007

    • BR-2.2.13

      Where conduct of business standards applied by overseas branches and subsidiaries of an investment firm licensee fall below the standards set out in Module BC (Business Conduct), the investment firm licensee must notify the CBB of the fact (ref. BC-B. 1.5).

      Amended: October 2009
      Adopted: July 2007

    • BR-2.2.14

      Where client asset rules applied by overseas branches and subsidiaries of an investment firm licensee fall below the standards set out in Module CL (Client Assets), the investment firm licensee must notify the CBB of the fact (ref. CL-B.2.2).

      Amended: October 2009
      Adopted: July 2007