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RM-7.3.3

Investment firm licenseesG must obtain CBB prior written approval before committing to a material intra-group outsourcing. The request for approval must be made in writing to the licensee'sG normal supervisory contact at least 6 weeks prior to committing to the outsourcing, and must set out a summary of the proposed outsourcing, its rationale, and an analysis of its associated risks and proposed mitigating controls.

Amended: October 2017
Amended: April 2008
Adopted: July 2007
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