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  • Notification Requirements and Process

    Contents:

    •    CSD-5.3.18
    •    CSD-5.3.19
    •    CSD-5.3.20

    • CSD-5.3.18

      A licensed clearing house or licensed central depository must immediately notify the CBB when an approved person ceases to hold a controlled function together with an explanation as to the reasons why. In such cases, their approved person status is automatically withdrawn by the CBB.

      Amended: April 2016
      Added: April 2013

    • CSD-5.3.18A

      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.

      Added: April 2016

    • CSD-5.3.19

      The CBB may impose regulations relating to the composition and duties of the board of directors or any committee of a licensed clearing house or licensed central depository.

      Amended: April 2016
      Amended: April 2013

    • CSD-5.3.20

      In this section, "committee" includes any committee of directors, disciplinary committee, appeals committee or any body responsible for disciplinary action against a member or depository participant of a licensed clearing house or licensed central depository.

      Amended: April 2016
      Amended: April 2013