Regulatory Handbook Appendices (2017-10-17)

Summary

This is a short general industry notice from CIMA announcing an update to the Appendices section of its Regulatory Handbook. The key change is the introduction of a new Personal Questionnaire Form to be used when addressing Fitness and Propriety assessments.

• What changed: The Appendices section of the Regulatory Handbook has been updated.
• Main change: A new Personal Questionnaire Form is now to be used for Fitness and Propriety purposes.

The notice does not itself specify a transition period or compliance deadline for using the new form; it simply announces the update. Entities and individuals subject to Fitness and Propriety requirements under CIMA's regulatory framework should use the new form going forward.

Key obligations

• Use the new Personal Questionnaire Form when addressing Fitness and Propriety matters under the Regulatory Handbook

Applies to

licensees and regulated entities subject to CIMA's Fitness and Propriety requirements, individuals subject to Fitness and Propriety assessment (e.g. directors, senior officers)