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AA-3.1.1

Past version: Effective from 01 Apr 2008 to 30 Sep 2009
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Investment firm licensees must arrange for their auditors to review the licensee's Quarterly Prudential Return to the CBB prior to its submission, unless otherwise exempted in writing by CBB. Auditors must complete the prescribed form attesting to their review, which must be attached to the Quarterly Prudential Return.

Amended: April 2008
Amended: January 2007