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 |
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. |