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UG-A.1.4

Volume 4 (Investment Business) covers investment firm licenseesG , i.e. those CBB licensees that solely undertake regulated investment servicesG . It contains prudential requirements (such as rules on minimum capital and risk management); and conduct of business requirements (such as rules on the giving of investment advice and the treatment of client moneyG ). Collectively, these requirements are aimed at ensuring the safety and soundness of CBB-licensed investment firms, and providing an appropriate level of protection to the clients of such firms.

Amended: January 2007
Amended: January 2008
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