BR-2.2.1
Past version: Effective from 01 Oct 2009 to 30 Jun 2010
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An
(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 .
(e) A significant breach of any provision of the Rulebook (including a Principle);
(f) A breach of any requirement imposed by the relevant law or by regulations or an order made under any relevant law by the CBB; or
(g) If an investment firm licensee becomes aware, or has information that reasonably suggests that it has or may have provided the CBB with information that was or may have been false, misleading, incomplete or inaccurate, or has or may have changed in a material way, it must notify the CBB immediately (ref. BR-3.3.2).
Amended: October 2009
Adopted: July 2007
Adopted: July 2007