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  • BR-1A.4 BR-1A.4 Onsite Inspection Reporting

    • BR-1A.4.1

      For the purpose of onsite inspection by the CBB, Investment firm licensees must submit requested documents and completed questionnaires to the Inspection Directorate at the CBB three working days ahead of inspection team entry date.

      Added: April 2017

    • BR-1A.4.2

      Investment firm licensees must review the contents of the draft Inspection Report and submit to the Inspection Directorate at the CBB a written assessment of the observations/issues raised within fifteen working days of receipt of such report. Evidentiary documents supporting management's comments must also be included in the response package.

      Amended: January 2022
      Added: April 2017

    • BR-1A.4.3

      Investment firm licensees' board are required to review the contents of the Inspection Report and submit within one month, of the report issue date, a final response to such report along with an action plan addressing the issues raised within the stipulated timeline.

      Added: April 2017

    • BR-1A.4.4

      Investment firm licensees failing to comply with the requirements of Paragraphs BR-1A.4.1 and BR-1A.4.2 are subject to date sensitive requirements and other enforcement actions as outlined in Module (EN) Enforcement.

      Added: April 2017