Notification Requirements and Process
Contents:
MAE-5.3.18
A
licensed exchange must immediately notify the CBB when anapproved person ceases to hold acontrolled function together with an explanation as to the reasons why. In such cases, theirapproved person status is automatically withdrawn by the CBB.Amended: April 2013MAE-5.3.18A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 anapproved person .Added: April 2016MAE-5.3.19
The
licensed exchange shall provide for the composition and duties of the board of directors or any committee of alicensed exchange after obtaining CBB approval.Amended: April 2013MAE-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 of alicensed exchange .Amended: April 2013