Skip to Content
Whole SectionText only Print Print Manager Link

MAE-4.5.1

If an auditor of a licensed exchangeG or licensed market operatorG in the course of the performance of his duties becomes aware of:

(a) Any matter which in his opinion, adversely affects or may adversely affect the financial positionG of the licensed exchangeG or licensed market operatorG to a material extent;
(b) Any matter which in his opinion, constitutes or may constitute a breach of the CBB Law and regulations or an offence involving fraud or dishonesty; or
(c) Any irregularity that has or may have a material effect upon the accounts of the licensed exchangeG or licensed market operatorG , including any irregularity that affects or jeopardises or may affect or jeopardise, the funds or property of investors in securitiesG or futures contractsG ,

the auditor shall immediately send to the CBB a written report of the matter or the irregularity.

Amended: April 2016
 Versions
(2 Versions)
 
Oct 1 2008 - Mar 31 2016Apr 1 2016 onwards
Back to top