Back Custom print Link Text Only Rich Text Print

  • Client Asset Transfers

    • BR-2.3.9

      In accordance with Chapter GR-4, investment firm licensees must seek prior written approval from the CBB before transferring client assets to a third party, in circumstances other than when acting on instruction from the client concerned. This requirement is applicable to Category 1 investment firm and Category 2 investment firm licensees only.

      Amended: July 2012
      Amended: October 2009
      Adopted: July 2007