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An investment firm licenseeG must notify the CBB if any of the following has occurred, may have occurred or may occur in the near future:

(a) The investment firm licenseeG failing to satisfy one or more of the Principles of Business referred to in Module PB;
(b) Any matter which could have a significant adverse impact on the investment firm licensee'sG reputation;
(c) Any matter which could affect the investment firm licensee'sG ability to continue to provide adequate services to its customersG and which could result in serious detriment to a customerG of the investment firm licenseeG ; or
(d) Any matter in respect of the investment firm licenseeG that could result in material financial consequences to the financial system or to other investment firm licenseesG .
(e) Any breach of any provision of the Rulebook (including a Principle);
(f) A breach of any requirement imposed by the relevant law or by regulations or an order made under any relevant law by the CBB; or
(g) If an investment firm licenseeG becomes aware, or has information that reasonably suggests that it has or may have provided the CBB with information that was or may have been false, misleading, incomplete or inaccurate, or has or may have changed in a material way, it must notify the CBB immediately (ref. BR-3.3.2).
Amended: July 2010
Amended: October 2009
Adopted: July 2007
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