AU-5.2.1

Past version: Effective from 01 Oct 2009 to 30 Jun 2015
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Investment firm licensees must obtain CBB approval before a person is formally appointed to a controlled function. The request for CBB approval must be made by submitting to the CBB a duly completed Form 3 (Application for Approved Person status) after verifying that all the information contained in the Form 3, including previous experience, is accurate.

Amended: October 2009
July 2007