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A licenseeG must notify the CBB immediately if one of the following events arises:

(a) It becomes aware that a person, whether or not employed by it may have committed, or is acting with intent to commit fraud against its customers or itself;
(b) A major operational or security incident where the incident has or may have a major negative impact on the financial interests of its customers or other licensees, or itself;
(c) It identifies irregularities in its accounting or other records, whether or not there is evidence of fraud;
(d) It suspects that one of its employees may be guilty of serious misconduct concerning his honesty or integrity and which is connected with the licensee'sG regulated activities; or
(e) Conflicts of interest that may affect the operation of the licenseeG .
Amended: December 2018
April 2016
(2 Versions)
Apr 1 2016 - Nov 30 2018Dec 1 2018 onwards
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