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CA-1.2.9

Category 1 and 2 investment firms must notify the CBB if:

(a) The ratio of Regulatory Capital to their Regulatory Capital Requirement falls below 110% (see Paragraph CA-1.1.5);
(b) Any single probable contingency, financial commitment or large exposure exceeds 25% of their Regulatory Capital; and
(c) Any instrument, transaction or situation does not appear to be catered for under Module CA.
Amended: April 2011
Amended: January 2007