BR-2.2.4
Past version: Effective from 01 Jul 2007 to 30 Sep 2009
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An
(a) A significant breach of any provision of the Rulebook (including a Principle);
(b) 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
(c) The bringing of a prosecution for, or conviction of, any offence under any relevant law against the investment firm licensee that would prevent the investment firm licensee from meeting the Principles or Business (Module PB) or any of its Directors , officers, approved persons , or appointed representatives from meeting the fit and proper requirements of Module AU.
Adopted: July 2007