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CIU-3.1.5

The placement agent is required to report the following to the CBB:

(a) The Quarterly Statistical Return (Form CIU-QS, Part B of the CBB Rulebook – Volume 7) within 30 days of each quarter end; and
(b) The following information as soon as reasonably practicable but no later than 30 calendar days, in the event of any
a. Breaches of terms and conditions of the offering including breaches in investment limits;
b. Any suspension or deferral of issuance or redemption;
c. Any legal claims or disputes involving the CIU;
d. Any material changes in relation to the CIU which would impact the accuracy of the information provided to the CBB including a change in any relevant persons of the CIU;
e. Any non-compliance with the CIU’s AML/CFT obligations; and
f. Details of unresolved customer complaints involving the CIU.
Added: April 2022