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In accordance with Paragraph AA-3.1.1, for Category 1 and Category 2 investment firm licenseesG , the Quarterly Prudential Returns for the quarter ending 30 June (or semi-annually, depending on the licensee'sG financial year-end) must be reviewed by the firm's external auditor, unless otherwise exempted in writing by CBB.

Amended: October 2016
Amended: January 2012
Amended: January 2011
Amended: October 2009
Adopted: July 2007
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