Evolution of the Module
HC-A.3.1
This Module was first issued in January 2005, as part of the initial release of Volume 2 of the BMA Rulebook. It was dated January 2005. All subsequent changes to this Module are shown with the month and year in which the change was made, at the base of the relevant page and in the Table of Contents. Chapter UG-3 provides further details on Rulebook maintenance and version control.
HC-A.3.2
A list of recent changes made to this Module is shown below:
Module Ref. Change Date Description of Changes HC-1.5 01/07/05 Transparency requirements formalised HC-1.6 01/07/05 Notification concerning senior positions/ controllers HC-1.1, HC-1.2 & HC-1.4 01/10/05 High level controls HC-1.5 01/10/05 New SPV requirements HC-3.1 – HC-3.2 01/10/05 Revised compliance function requirements HC-1.5.3, HC-1.5.5, & HC-4.1 01/01/06 Revised notification requirements for SPVs and dealing staff HC-2, HC-3 and HC-4 01/07/06 Requirements relating to controllers moved to Module GR; Remaining requirements relating to 'fit and proper' re-drafted to ensure consistent terminology and procedures with other Rulebook Volumes (without changing the substance of the previous 'fit and proper' requirements); Requirements relating to dealers incorporated into the 'fit and proper' requirements.
