BR-A.2.2

A list of recent changes made to this Module is provided below:

Module Ref. Change Date Description of Changes
BR-1.1 10/2009 Updated to include CBB's new requirements for preparation and submission of Quarterly Prudential Report and Auditors Report.
BR-1.2 10/2009 Corrected Heading to read Annual Group Return.
BR-1.3 10/2009 Amended to include CBB's requirements for prudential and reporting dates of a branch.
BR-1.4 10/2009 New Section added to include CBB's reporting requirements in accordance with other Modules of Volume 4.
BR-2.2 10/2009 Updated to include CBB's notification requirements in accordance with other Modules of Volume 4.
BR-2.3 10/2009 Updated to include CBB's approval requirements in accordance with other Modules of Volume 4
BR-1.4.6 07/2010 New Rule added to clarify requirements for listed companies.
BR-2.2.1 and BR-3.4.3 07/2010 Paragraphs amended.
BR-2.3.13 07/2010 Amended cross reference.
BR-2.3.29 07/2010 Added cross reference.
BR-A.1.3 01/2011 Clarified legal basis.
BR-1.4.6 01/2011 Amendment made to recognise “licensed exchange”.
BR-1.4.12 and BR-1.4.13 01/2011 Added IIS reporting requirements.
BR-2.2.9 01/2011 Administrator not to be shown as a defined term in this Paragraph.
BR-2.2.22 01/2011 Amended reference to “direct” supervisory contact.
BR-2.3.5 01/2011 Removed reference to additional premises.
BR-2.3.8 01/2011 Clarified Rule dealing with change in authorised or issued capital.
BR-2.3.12 01/2011 Rule amended as it does not apply to overseas investment firms.
BR-2.3.18 01/2011 Rule amended to remove reference to “directors”.
BR-1.4.13 04/2011 Corrected cross reference.
BR-2.3.15, BR-2.3.16 and BR-2.3.17 04/2011 Paragraphs amended to incorporate new requirements under Chapter GR-10.
BR-1.4.9A 10/2011 Added requirement for submission of complaint handling procedures report.
BR-3.5 10/2011 Transferred material from EN-2 and AA-5 dealing with appointed experts.
BR-1.1.8 01/2012 Clarified application of Rule to Category 1 and Category 2 investment firm licensees.
BR-2.3.33 01/2012 Added notification to be provided to the Financial Institutions Supervision Directorate.
BR-1.4.10 07/2012 Deleted Paragraph to be in line with changes made to Module FC.
BR-2.3.27A 07/2012 Added a Paragraph to reflect CBB prior approval requirements under Paragraph CA-1.1.5A.
BR-3.1.1A and BR-3.1.1B 07/2012 Added Paragraphs to clarify Rules on power to request information.
BR-3.3.1 and BR-3.4 07/2012 Minor corrections.
BR-2.3.32 10/2012 Reference updated to reflect the issuance of Volume 7 (CIU).
BR-1.4.12 01/2013 Clarified deadline to update IIS.
BR-2.3.27B 01/2013 Added a Rule requiring CBB prior written approval where an investment firm licensee proposes to settle a subordinated loan made by its shareholders, either fully or partially.
BR-2.3.19(a) 04/2013 Correction made to proper cross reference.
BR-1.4.11 10/2013 Aligned defined term with Glossary.
BR-2.2.5, BR-2.2.26, BR-2.3.6 and BR-3.2.2 10/2013 Removed reference to appointed representatives.
BR-2.3.33 10/2014 Added cross reference to Module OFS in Volume 6 of the CBB Rulebook.
BR-1.1.6 07/2015 Clarified that the QPR is to be filed on a consolidated basis.
BR-1.4.1 and BR-2.3.11 10/2015 Added cross reference to reflect update to Chapter GR-5.
BR-2.2.23, BR-2.2.23A and BR-2.3.10 10/2015 Amended to be in line with updated Chapter GR-5.
BR-2.2.16 and BR-2.2.22 01/2016 Corrected cross references.
BR-2.2.6 04/2016 Clarified to whom notification requirements must be sent in the cases of fraud.
BR-1.1.8 10/2016 Added reference to AA-3.1.1
BR-1.4.6A 10/2016 Added a new Rule on submitting to the CBB the Audited financial statements of subsidiaries
BR-2.2.23 01/2017 Amended to be consistent with GR-5.1.5.
BR-1A.4 04/2017 Added a new Section on Onsite Inspection Reporting.
BR-2.2.17 04/2017 Corrected reference
BR-1.4.11 10/2017 Amended Paragraph to clarify that licensees are to formally declare in writing that they do not possess any Client assets.
BR-1.4.11 04/2018 Amended Paragraph.
BR-1B.4 10/2018 Added a new Section on Report on Private Placements.
BR-1.4.5A 10/2019 Added a new Paragraph on disclosure of financial penalties.
BR-1B.4.1 01/2020 Amended Paragraph to add requirements applicable to Cat. 1 and 2.
BR-1B.4.2 01/2020 Amended Paragraph on reports purpose.
BR-1B.4.6 01/2020 Added a new Paragraph on reporting requirements.
BR-2.3.12 01/2020 Amended Paragraph.
BR-2.3.15 01/2020 Amended Paragraph.
BR-1.1.4 01/2022 Amended Paragraph on submission of Forms.
BR-1.1.12 01/2022 Deleted Paragraph.
BR-1.2 01/2022 Deleted Section.
BR-1.4.3 01/2022 Amended Paragraph.
BR-1.4.4 01/2022 Delete Paragraph.
BR-1.4.7 01/2022 Amended Paragraph.
BR-1.4.8 01/2022 Amended Paragraph.
BR-1.4.9 01/2022 Amended Paragraph on submission of the PIIR.
BR-1.4.9A 01/2022 Amended Paragraph on submission of a complaint handling procedures report.
BR-1A.4.2 01/2022 Amended Paragraph on the submission of the written assessment of the observations/issues raised in the Inspection draft report.
BR-1B.4.1 01/2022 Amended Paragraph.
BR-2.2.22 01/2023 Amended Paragraph removing reference to RM.
BR-2.3.19 01/2023 Deleted Paragraph on CBB approval for outsourcing of functions..
BR-1.4.14 07/2023 Added a new Paragraph on Prudential Meetings Requirements.
BR-2.2.27 07/2023 Added a new Paragraph on notifying the CBB of any changes to the business strategy.