EN-A EN-A Introduction
EN-A.1 EN-A.1 Application
EN-A.2 EN-A.2 Purpose
EN-A.2.1
This module sets out the Agency's approach to enforcement, and the mechanisms used by the Agency to address failures by licensees to comply with its regulatory requirements. The purpose of such measures is to encourage a high standard of compliance by the Agency licensees, thus reducing risk to their customers and the rest of the financial system.
EN-A.2.2
This module provides support for all other modules of the Rulebook.
EN-A.3 EN-A.3 Regulation history
EN-A.3.1
This module was first issued on 1st January 2005 as part of the Islamic principles volume. All regulations in this volume have been effective since this date. All subsequent changes are dated with the month and year at the base of the relevant page and in the Table of Contents. Chapter UG-3 of Module UG provides further details on Rulebook maintenance and control.
EN-A.3.2
A list of the most recent changes made to this module are detailed in the table below:
Summary of changes
Module Ref. Change Date Description of Changes EN-7 01/07/06 Addition of procedures for "Appointed Experts" (relocated from AU-4) Evolution of the Module
EN-A.3.3
The module incorporates the requirements set out under Circular No. ODG/249/2004 dated 22 July 2004 relating to the Agency's approach to enforcement.
Effective date
EN-A.3.4
The contents in this module are effective from 1st September 2004. However, the contents of other modules referred to herein are effective from the dates specified in those respective modules.
