MIE-1.2.6A
Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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Where the CBB believes on reasonable grounds that a
(i) Any dealing in securities of, or made available by, a company or an issuer of securities referred to in paragraph (a);
(ii) Any advice given or any report or analysis issued or published concerning such securities , by any capital market service provider or a member of an SRO to deal in securities , or a representative of such a holder;
(iii) The financial position of any business carried on by a person who is or has been (either alone or together with another person or other persons ) the holder of a capital market service provider and member of an SRO to deal in securities and who has dealt or given advice or issued or published a report or an analysis concerning such securities ;
(iv) The financial position of any business carried on by a nominee controlled by a person referred to in paragraph (iii) or jointly controlled by two or more persons at least one of whom is a person referred to in that paragraph; or
(v) An audit of, or any report of an auditor concerning any book of the capital market service provider or the member of an SRO to deal in securities , being a book relating to dealings in such securities ;
the CBB may require the