• Notification Requirements and Process

    Contents:

    •    MAE-5.3.18
    •    MAE-5.3.19
    •    MAE-5.3.20

    • MAE-5.3.18

      A licensed exchange 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 In such cases, their approved person status is automatically withdrawn by the CBB.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 2013

    • MAE-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

    • MAE-5.3.19

      The licensed exchange shall provide for the composition and duties of the board of directors or any committee of a licensed exchange after obtaining CBB approval.

      Amended: April 2013

    • MAE-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 a licensed exchange.

      Amended: April 2013