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  • MIR-4.11 MIR-4.11 Obligation to Assist CBB

    • MIR-4.11.1

      A member shall provide such assistance to the CBB and/or SRO that is required for the performance of the functions and duties of the CBB, including the furnishing of such returns and the provisions of:

      (a) Such books and information:
      1. Relating to the business of the licensed member; or
      2. In respect of such dealings in securities or trading in futures contracts, products or other instruments; and
      (b) Such other information as the CBB may require for the proper administration of this Module in general, and for the investigation and enforcement purposes in particular;
      (c) Any information related to the handling and segregation of the clients assets.
      Amended: April 2013
      Adopted January 2010

    • MIR-4.11.2

      The CBB may at is discretion:

      (a) Call for the provision of additional information about the affairs of the member;
      (b) Carry out inspections of the office of the licensed member and inspect the books of accounts and other relevant books of the licensed member; and
      (c) Appoint one or more examiner or investigator to inquire into the affairs of the licensed member.
      Adopted January 2010