AU-4.1.4
Unless otherwise directed by the CBB, the following documents must be provided in support of a Form 1:
(a) A duly completed Form 3 (Application for Approved Person status), for the individual proposed to undertake the controlled function (as defined in Rule AU-1.2.1 ) in the proposed licensee ;
(b) The detailed application information, addressing the matters described in Paragraph AU-4.1.5;
(c) A copy of the company's current commercial registration or equivalent documentation;
(d) A certified copy of a Board resolution of the applicant, confirming its decision to seek a CBB representative office license ;
(e) A letter of non-objection to the proposed license application from the applicant's home supervisor , together with confirmation that the group is in good regulatory standing and is in compliance with applicable supervisory requirements, including those relating to capital requirements;
(f) A copy of the certificate of license issued by the Regulated Authority of the head office/parent company; and
(g) Copies of the audited financial statements of the applicant (head office) for the three years immediately prior to the date of application.
December 2010