BR-3.4.4

Versions

Jul 01 2007 - Jun 30 2012
Jul 01 2012 - Sep 30 2013
Oct 01 2013

Past version: Effective from 01 Jul 2012 to 30 Sep 2013
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The CBB considers that an investment firm licensee should take reasonable steps to ensure that the following persons act in the manner set out in Paragraph BR-3.4.3:

(a) Its employees and appointed representatives; and

(b) Any other members of its group and their employees and appointed representatives.

Amended: July 2012
Adopted: July 2007

Location:

BR-3.4.4