Rulebook Contents (overview)
UG-2.1.3
Except for Volumes 5, 6 and 7, the basic structure of each Rulebook is the same. Each Volume starts with a contents page and User's Guide. Subsequent material is organised underneath the following headings:
(a) High-level Standards;(b) Business Standards;(c) Prudential Requirements;(d) Reporting Requirements;(e) Enforcement and Redress; and, where appropriate(f) Sector GuidesAmended: April 2013
Amended: July 2012
Amended: January 2011
October 2007UG-2.1.4
Volume 5 is organised by the Category of specialised firm concerned, whilst Volume 6 by subject area (authorised exchanges; issuers of securities etc).
October 07UG-2.1.5
The material in Volumes 1-4 is contained in Modules, each covering a specific area of requirements (e.g. High-level Controls). In turn, each Module is divided into Chapters, Sections and Paragraphs, as detailed below.
October 07UG-2.1.6
Each Volume has its own appendix Volume containing relevant reporting and authorisation forms; a glossary; and any supplementary information. In all cases, the main Volume is called "Part A" and the appendix Volume is called "Part B".
October 07
