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AA-3.1.2

Investment firm licenseesG are required to submit a Quarterly Prudential Return (QPR). Category 1 and Category 2 investment firm licenseesG may apply in writing to CBB for an exemption from the requirement that the QPR be reviewed by the licensee'sG external auditors: this exemption would normally only be given where the licenseeG had established a track record of accurate and timely reporting, and there were no other supervisory issues of concern. Further details on the CBB's reporting and related requirements, including the precise scope of the auditor's review and attestation, will be contained in Module BR (CBB Reporting).

Amended: July 2016
Amended: January 2007
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