• Notification Requirements and Process

    • AU-4.2.8

      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 Paragraphs AU-4.3.8 and AU-4.3.9). In such cases, their approved person status is automatically withdrawn by the CBB.

      January 2014

    • AU-4.2.9

      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.

      January 2014

    • AU-4.2.10

      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.

      January 2014

    • AU-4.2.10A

      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