Volume 5 (Specialised Licensees) covers specialised licensees, i.e. those CBB licensees that undertake regulated specialised activities that do not fall under any other Volume (1-4,6, 7) of the CBB Rulebook. It contains prudential requirements (such as rules on minimum capital and risk management); and conduct of business requirements (such as rules on the giving of advice and the treatment of customer money). Collectively, these requirements are aimed at ensuring the safety and soundness of CBB-licensed companies, and providing an appropriate level of protection to the customers of such companies.
Amended: October 2012
October 2010