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BR-2.2.1

Past version: Effective from 01 Jul 2007 to 30 Sep 2009
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An investment firm licensee must notify the CBB if any of the following has occurred, may have occurred or may occur in the near future:

(a) The investment firm licensee failing to satisfy one or more of the Principles of Business referred to in Module PB;
(b) Any matter which could have a significant adverse impact on the investment firm licensee's reputation;
(c) Any matter which could affect the investment firm licensee's ability to continue to provide adequate services to its customers and which could result in serious detriment to a customer of the investment firm licensee; or
(d) Any matter in respect of the investment firm licensee that could result in serious financial consequences to the financial system or to other investment firm licensees.
Adopted: July 2007