C4-5.3.6
The CBB uses various methods of information gathering on its own initiative which require the cooperation of the
(a) Representatives of the CBB may make onsite visits at the premises of the licensee . These visits may be made on a regular basis, or on a sample basis, for special purposes, or when the CBB has a particular reason for visiting a licensee ;
(b) Appointees of the CBB may also make onsite visits at the premises of the licensee . Appointees of the CBB may include persons who are not CBB staff, but who have been appointed to undertake particular monitoring activities for the CBB, such as in the case of Appointed Experts .
(c) The CBB may request the investment firm licensee to attend meetings at the CBB’s premises or elsewhere;
(d) The CBB may seek information or request documents by telephone, by emails, at meetings or in writing;
Added: January 2022