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  • Monitoring and Enforcement of Module HC

    • HC-A.1.9

      Disclosure and transparency are underlying principles of Module HC. Disclosure is crucial to allow outside monitoring to function effectively. This Module looks to a combined monitoring system relying on the Board, the investment firm licensee's shareholders and the CBB.

      January 2011

    • HC-A.1.10

      It is the Board's responsibility to see to the accuracy and completeness of the investment firm licensee's corporate governance guidelines and compliance with Module HC. Failure to comply with this Module is subject to enforcement measures as outlined in Module EN (Enforcement).

      January 2011