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EN-8.2.2

The CBB is conscious of the impact that assessing someone as not 'fit and proper' may have on an individual approved personG . Such assessments are carefully reviewed in the light of all relevant facts. The criteria used in reaching a decision include the following:

(a) The extent to which the factors set out in Chapter AU-3 have not been met;
(b) The extent to which the person has deliberately or recklessly breached requirements of the CBB Law or Volume 5 (Specialised Licensees);
(c) The person's past compliance record and conduct following any such breaches;
(d) The length of time since factors indicating a lack of fitness or propriety occurred; and
(e) The risk the person poses to licenseesG and their customersG .
October 2010
 Versions
(1 Version)
 
Oct 1 2010 onwards
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