Chapter BR-2 Notifications and Approvals
- BR-2.1 Introduction
-
BR-2.2 Notification Requirements
- Matters Having a Serious Supervisory Impact
- Legal, Professional, Administrative or other Proceedings Against an Investment Firm Licensee
- Fraud, Errors and other Irregularities
- Meaning of the Term "significant"
- Insolvency, Bankruptcy and Winding Up
- Other Supervisors
- Carrying out Business in Another Jurisdiction
- External Auditor
- Approved Persons
- Capital Adequacy
- Outsourcing Arrangements
- Controllers
- Registered Address
- Appointed Representatives
- Business Strategy
-
BR-2.3 Approval Requirements
- Change in Name
- Change of Address
- Change in Legal Status
- Change in Authorised or Issued Capital
- Client Asset Transfers
- Controllers and Close Links
- Carrying out Business in Another Jurisdiction
- Mergers, Acquisitions, Disposals and Establishment of New Subsidiaries
- Share Option Schemes
- BR-2.3.16 [Deleted]
- Outsourcing Arrangements
- Matters Having a Serious Supervisory Impact
- Capital Adequacy
- Licensed Regulated Services
- Private Placement of Securities
- External Auditor
- Approved Persons