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  • Notification Requirements and Process

    • AU-5.2.8

      Investment firm licensees must immediately notify the CBB when an approved person ceases to hold a controlled function together with an explanation as to the reasons why (see Paragraph AU-5.5.5). In such cases, their approved person status is automatically withdrawn by the CBB.

      Amended: October 2009
      Amended: July 2008
      Amended: April 2008
      Amended: July 2007

    • AU-5.2.9

      Investment firm licensees must immediately notify the CBB in case of any material change to the information provided in a Form 3 submitted for an approved person.

      Amended: October 2009

    • AU-5.2.10

      Investment firm licensees must immediately notify the CBB when they become aware of any of the events listed in Paragraph EN-8.2.3, affecting one of their approved persons.

      Amended: October 2009