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  • Notification Requirements and Process

    Contents:

    •    MIR-3.4.11

    • MIR-3.4.11

      The member must immediately notify the CBB, licensed exchange and/or licensed clearing house 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 In such cases, their approved person status is automatically withdrawn by the CBB.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
      Adopted January 2010

    • MIR-3.4.12

      Members 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