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  • Assessment of Application

    • AU-4.2.6A

      The CBB shall review and assess the application for approved person status to ensure that it satisfies all the conditions required in Paragraph AU-3.1.3 and the criteria outlined in Paragraph AU-3.1.5.

      Amended: January 2016
      Added: July 2015

    • AU-4.2.6B

      For purposes of Paragraph AU-4.2.6A, licensees should give the CBB a reasonable amount of notice in order for an application to be reviewed. The CBB shall respond within 15 business days from the date of meeting all regulatory requirements, including but not limited to receiving the application complete with all the required information and documents, as well as verifying references.

      Amended: January 2016
      Added: July 2015

    • AU-4.2.6C

      The CBB reserves the right to refuse an application for approved person status if it does not satisfy the conditions provided for in Paragraph AU-3.1.3 and the criteria outlined in Paragraph AU-3.1.5. A notice of such refusal is issued by registered mail to the licensee concerned, setting out the basis for the decision.

      Amended: January 2016
      Added: July 2015

    • AU-4.2.7

      [This Paragraph was deleted in January 2016.]

      Deleted: January 2016
      Amended: July 2015
      January 2014