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OFS-3.3.7

The lead manager must inform the CBB where:

(a) It is no longer able to satisfy the criteria for approval;
(b) Any of the approved executives of the lead manager are convicted of an offence involving fraud, theft or other dishonesty, or are the subject of a bankruptcy proceeding; or
(c) It resigns as a lead manager, listing agent or sponsor. In this case, the lead manager must provide written notification to both the CBB and the relevant issuer.
January 2014