• Notification Requirements and Process

    • AU-4.3.8AA

      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-4.4.6). In such cases, their approved person status is automatically withdrawn by the CBB.

      Amended: October 2018
      Amended: July 2015
      Added: July 2011

    • AU-4.3.8

      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.

      October 2010

    • AU-4.3.9

      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.

      October 2010

    • AU-4.3.9A

      Licensees must immediately notify the CBB should they become aware of information that could reasonably be viewed as calling into question an approved person’s compliance with CBB’s ‘fit and proper’ requirement (see AU3.1).

      Added: January 2021