MIR Market Intermediaries and Representatives License
- MIR-A Introduction
- MIR-B Scope
- MIR-1 Legal Basis and Regulated Activities
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MIR-2 Licensing
- MIR-2.1 Licensing Requirements
- MIR-2.2 Application for License
- MIR 2.3 Exempted Broker-Dealer and Exempted Clearing Member [This Section was deleted in April 2013]
- MIR 2.4 Power of CBB to Revoke Exemption [This Section was deleted in April 2013].
- MIR 2.5 Criteria for Granting License
- MIR 2.6 Surrender of License or Cessation of Activities or Services
- MIR 2.7 Cancellation or Amendment of License
- MIR 2.8 Annual Fees Payable by a Licensed Member
- MIR 2.9 Publication of the Decision to Grant, Cancel or Amend a License
- MIR 2.10 Place of Business
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MIR-3 Authorisation
- MIR-3.1 Authorisation of Approved Persons
- MIR-3.2 Basis for Approval
- MIR-3.3 Fit and Proper
- MIR-3.4 Approved Persons
- MIR-3.5 Amendment of Authorisation
- MIR-3.6 Cancellation of Authorisation and Power of CBB to Remove Approved Person
- MIR-3.7 Criteria to Determine Failure to Discharge Duties or Functions by Approved Persons
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MIR-4 Business Standards and Ongoing Obligations
- MIR-4.1 General Obligations
- MIR-4.2 Notification Requirements
- MIR-4.3 Mind and Management
- MIR-4.4 Financial Resources, Initial Paid-up Capital and Capital Adequacy Requirements
- MIR-4.5 Systems and Controls
- MIR-4.6 Obligation to Maintain Proper Records
- MIR-4.7 Segregation and Handling of Clients' Assets
- MIR-4.8 Final Accounts and Auditing
- MIR-4.9 Obligation to Submit Periodic Reports
- MIR-4.10 Additional Powers of the CBB in Respect of Auditors
- MIR-4.11 Obligation to Assist CBB
- MIR-4.12 Obligation to Maintain Confidentiality
- MIR-4.13 Confirmation Requirements and Provision of Information to Clients
- MIR-4.14 Transmission and Storage of Transactions and Clients Information
- MIR-4.15 Business Continuity Plan
- MIR-4.16 Outsourcing
- MIR-4.17 Compliance Officer [This Section was deleted in April 2013 as requirements are now found under Paragraphs MIR-3.1.6 and MIR-3.1.7.]
- MIR-4.18 Non-Compliance with Business Rules, Listing Rules, Clearing and Settlement Rules not to Substantially Affect the Rights of Persons
- MIR-4.19 Market Making Practice for Liquidity Enhancement
- MIR-5 Substantial Shareholding in a Licensed Member
- MIR-6 Control of a Licensed Member
- MIR-7 Business Transfer
- MIR-8 Listing of a Licensed Member
- MIR-9 Emergency Powers of the CBB