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  • UG-A.2 UG-A.2 Module History

    • Evolution of Module

      • UG-A.2.1

        This Module was first issued in April 2006 by the BMA, as part of the first phase of Volume 4 (Investment Business) to be released. 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

      • UG-A.2.2

        When the CBB replaced the BMA in September 2006, the provisions of this Module remained in force. Volume 4 was updated in July 2007 to reflect the switch to the CBB; however, new calendar quarter dates were only issued where the update necessitated changes to actual requirements.

        Added: January 2007

      • UG-A.2.3

        A list of recent changes made to this Module is provided below:

        Module Ref. Change Date Description of Changes
        UG-A.1 07/2007 Updated to reflect new CBB Law: various references changed and new Rule A.1.6 introduced categorising this Module as a Directive.
        UG-1.2 07/2007 New Rules UG-1.2.6 and UG-1.2.7 to reflect the CBB Law; other material reordered as a consequence.
        UG-A.1.6 01/2008 Corrected that this Module applies only to investment firm licensees (including their approved persons).
        UG-3.2.1 01/2008 Updated CBB policy re distribution of hard copies of Volumes of Rulebook.
        Order Form 01/2008 Amended Order Form to reflect new policy re hard copy availability.
        UG-A.1.6 01/2011 Clarified legal basis.
        UG-2.1.2 01/2011 Updated to reflect structure of Volume 5.
        UG-A.1.2, UG-1.2.1 and UG-2.1 07/2012 Various minor corrections to reflect structure of Rulebook, including issuance of Volume 7.
        UG-1.2.1, UG-1.2.7, UG-2.1.2, UG-2.1.3 and UG-2.2.2 10/2012 Various minor amendments.
        UG-3.2 and Annex 01/2013 Amended as CBB Rulebook only now available on CBB Website.
        UG-1.3.4 10/2016 Add section to clarify reference to 'he' 'his' 'she' and 'her'.
        UG-3.2.2 04/2020 Amended Paragraph.

    • Superseded Requirements

      • UG-A.2.3

        Deleted: January 2007

      • UG-A.2.4

        Guidance on the implementation and transition to Volume 4 (Investment Business) is given in Module ES (Executive Summary).