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  • Approved Persons

    • BR-2.3.21

      A licensee must seek prior approval from the CBB for the appointment of persons undertaking a controlled function in a licensee (ref. Article 65 of the CBB Law, AU-1.2 and AU-4.2.1).

      May 2011

    • BR-2.3.22

      Licensees must seek prior CBB approval before an approved person may move from one controlled function to another within the same licensee (ref. AU-4.2.11).

      May 2011

    • BR-2.3.23

      If a controlled function falls vacant, the licensee must appoint a permanent replacement (after obtaining CBB approval), within 120 calendar days of the vacancy occurring. A licensee making immediate interim arrangements for the controlled function affected, must obtain approval from the CBB for such arrangement (ref. AU-4.3.5).

      May 2011