BR-2.2.12

Past version: Effective from 01 Jul 2007 to 30 Sep 2009
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An investment firm licensee must notify the CBB of the following:

(a) Removal or resignation of auditors (ref. AA-1.2.1);
(b) Change in audit partner (ref. AA-1.3.2);
(c) Termination of employment of approved persons, including particulars of reasons for the termination and arrangements with regard to replacement; and
(d) Significant conflicts of interest.
Adopted: July 2007