BR-3.4.2

When seeking meetings with an investment firm licensee or access to the licensee's premises, the CBB or the CBB appointee needs to have access to an investment firm licensee's documents and personnel. Such requests will be made during reasonable business hours and with proper notice. There may be instances where the CBB may seek access to the licensee's premises without prior notice. While such visits are not common, the prospect of unannounced visits is intended to encourage investment firm licensees to comply at all times with the requirements and standards imposed by the CBB as per legislation and Volume 4 of the CBB Rulebook.

Amended: July 2012
Adopted: July 2007