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  • Legal, Professional, Administrative or other Proceedings against a Licensee

    • BR-2.2.4

      A licensee must notify the CBB immediately of any legal, professional or administrative or other proceedings instituted against the licensee, controller of the licensee that is known to the licensee and is significant in relation to the licensee's financial resources or its reputation.

      April 2016

    • BR-2.2.5

      A licensee must notify the CBB of the bringing of a prosecution for, or conviction of, any offence under any relevant law against the licensee or any of its approved persons.

      April 2016