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BR-3.4.3

The CBB considers that an investment firm licenseeG should:

(a) Make itself readily available for meetings with representatives or appointees of the CBB;
(b) Give representatives or appointees of the CBB reasonable access to any records, files, tapes or computer systems, which are within the investment firm licensee'sG possession or control, and provide any facilities which the representatives or appointees may reasonably request;
(c) Produce to representatives or appointees of the CBB specified documents, files, tapes, computer data or other material in the investment firm licensee'sG possession or control as may be reasonably requested;
(d) Print information in the investment firm licensee'sG possession or control which is held on computer or otherwise convert it into a readily legible document or any other record which the CBB may reasonably request;
(e) Permit representatives or appointees of the CBB to copy documents of other material on the premises of the investment firm licenseeG at the investment firm licensee'sG expense and to remove copies and hold them elsewhere, or provide any copies, as may be reasonably requested; and
(f) Answer truthfully, fully and promptly all questions which representatives or appointees of the CBB reasonably put to it.
Amended: July 2012
Amended: July 2010
Adopted: July 2007
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