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  • EN-A.2 EN-A.2 Module History

    • EN-A.2.1

      This Module was first issued in April 2005 by the BMA, together with the rest of Volume 3 (Insurance). Any material changes that have subsequently been made to this Module are annotated with the calendar quarter date in which the change was made; Chapter UG-3 provides further details on Rulebook maintenance and version control.

      Amended: January 2007

    • EN-A.2.2

      When the CBB replaced the BMA in September 2006, the provisions of this Module remained in force. Volume 3 was updated in January 2007 to reflect the switch to the CBB; however, new calendar quarter dates were only issued where the update necessitated changes to the actual requirements.

      Amended: January 2007

    • EN-A.2.3

      A list of recent changes made to this Module is detailed in the table below:

      Module Ref. Change Date Description of Changes
      EN-A.1 01/2007 New Rule EN-A.1.2 introduced, categorising this Module as a Directive.
      EN-1.1,
      EN-2.1,
      EN-3.1,
      EN-4.1,
      EN-5.1,
      EN-6.1,
      EN-7.1,
      EN-8.1, and
      EN-9.1      		 01/2007 Insertion of new 'Legal Source' Sections, reflecting CBB Law.
      EN-2.2.10 01/2007 New Rule inserted on Appointed Experts reflecting CBB Law.
      EN-10.3,
      EN-10.4,
      EN-10.5 and
      EN-10.6      		 01/2007 Revised new Sections describing criminal sanctions contained in CBB Law.
      EN-1.2.3,
      EN-2.3.1,
      EN-2.4,
      EN-2.5,
      EN-8.1 and
      EN-8.3      		 10/2009 Amended terminology to be consistent with other Volumes of CBB Rulebook
      EN-2.2.7 10/2009 Added reference to 'actuary' for investigations.
      EN-5.2.7 10/2009 Paragraph deleted and replaced as it is a repetition of EN-5.2.6.
      EN-5.3A 10/2009 Added section on Financial Penalties for Non-Compliant Registered Appointed Representatives.
      EN-9-1 and
      EN-9.2      		 10/2009 Reference added to appointed representatives as registered persons.
      EN-A.1.2 01/2011 Clarified legal basis
      EN-2 10/2011 Chapter has been streamlined and repetitive information has been eliminated and reference is now made to Section BR-3.5.
      EN-5.1.1 10/2012 Amended guidance.
      EN-5.3B 10/2012 Added new Section on financial penalties for date sensitive requirements
      EN-10.3A.1 01/2013 Section added to refer to Article 161 of the CBB Law.
      EN-5.2.2 10/2013 Clarified guidance to be in line with CBB Law.
      EN-5.3B 10/2013 Clarified Rules for financial penalties for date sensitive requirements.
      EN-A.1.2 04/2016 Reference added to amendments to the CBB Law.
      EN-B.1.4 04/2016 New guidance Paragraph added to broaden the scope of the application of financial penalties to persons referred to in paragraph (b) of Article (68 bis 1) of the CBB Law.
      EN-5 04/2016 Amended to be in line with amendments to Article 129 of the CBB Law.
      EN-5.3B.3 04/2017 Amendment to financial penalties for Data Sensitive Requirements.
      EN-B.2.9 04/2019 Guideline moved from Section EN-4.3.
      EN-4.3.3 04/2019 Moved guideline to Section EN-B.2.
      EN-6 04/2019 Deleted Chapter.
      EN-5.3C 04/2021 Added a new Section on ‘Financial Penalties for Non-compliance with Blocking / Unblocking Requirements’.

    • EN-A.2.4

      Guidance on the implementation and transition to Volume 3 (Insurance) is given in Module ES (Executive Summary).