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  • Legal, Professional, Administrative or other Proceedings Against a Licensee

    • CRA-10.2.7

      Licensees must notify the CBB immediately of any legal, professional or administrative or other proceedings instituted against it or its substantial shareholder that is known to the licensee and is significant in relation to the licensee's financial resources or its reputation.

      Amended: April 2023
      Added: April 2019

    • CRA-10.2.8

      Licensees must notify the CBB of the bringing of a prosecution for, or conviction of, any offence under any relevant law against the licensee that would prevent the licensee from undertaking its activities in fair, orderly and transparent manner or any of its Directors, officers or approved persons from meeting the fit and proper requirements of Section CRA-1.7.

      Added: April 2019