C4-5.2.1
(a) Any matter which could have a significant adverse impact on the licensee ’s reputation;
(b) Any matter which could affect the licensee’s ability to continue to provide adequate services to its customers and which could result in serious detriment to a customer ;
(c) Any matter in respect of the licensee that could result in material financial consequences to the financial system or to other licensees ;
(d) A breach of any provision of the CBB laws and regulations;
(e) If the licensee becomes aware, or has information that reasonably suggests that it has or may have provided the CBB with information that was or may have been false, misleading, incomplete or inaccurate, or has or may have changed in a material way;
(f) Any legal, professional, administrative or other proceedings instituted against the licensee , controller or a parent undertaking of the licensee that is significant in relation to the licensee’s financial resources or its reputation;
(g) The bringing of a prosecution for, or conviction of, any material offence under any relevant law against the licensee or against any of its approved persons ; and
(h) It becomes aware that an employee, or another person, may have committed a fraud, it suspects fraud and identifies irregularities in its accounting or other records, or that one of its employees may be guilty of serious misconduct concerning his honesty or integrity.
Added: January 2022