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AU-5.4.3

In addition to any other information requested by the CBB, and unless otherwise directed by the CBB, an investment firm licensee requesting CBB approval to undertake a new regulated investment service must provide the following documentation:

(a) A summary of the rationale for undertaking the proposed new service;
(b) A description of how the new service will be managed and controlled; and
(c) An analysis of the financial impact of the new service.
Amended: July 2007