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  • Evolution of Module

    • ES-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). Any material changes that have subsequently been made to this Module are annotated with the end calendar quarter date in which the change was made: Chapter UG-3 provides further details on Rulebook maintenance and version control.

      Amended: January 2007

    • ES-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 for Module ES where the update necessitated changes to substance (as opposed to merely updating 'BMA' to 'CBB', and similar references).

      Added: January 2007

    • ES-A.2.3

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

      Module Ref. Change Date Description of Changes
      ES-A.1 07/2007 New Rule ES-A.1.6 introduced, categorising this Module as a Directive.
      ES-1.2 07/2007 Text amended to reflect changes to Module UG.
      ES-1.3 07/2007 Text amended to reflect changes to Module AU.
      ES-1.4 07/2007 Text amended to reflect changes to Module PB.
      ES-1.5 07/2007 Updated to reflect issue of Module HC in July 2007.
      ES-1.11 07/2007 Updated to reflect issue of Module RM in July 2007.
      ES-1.15 07/2007 Updated to reflect issue of Module BR in July 2007.
      ES-2.1, ES-2.3 &
      ES-2.4       		07/2007 Changes to reflect slight delay in release of Phase 2 contents of Volume 4: implementation deadline for Modules HC, RM and BR — released in July 2007 — now set as 1 January 2008.
      ES-2.4.1A 07/2008 Further transition period granted for requirements of Chapter BR-1, Prudential Reporting.
      ES-A.1.6 10/2009 Reference to registered administrators removed.
      ES-1.1.1 10/2009 Reference to administrator removed.
      ES-1.1.5 10/2009 Updated to reflect issue of Modules.
      ES-1.3 10/2009 Updated to reflect changes to Module AU.
      ES-1.3.9 10/2009 Reference to registration of administrators removed.
      ES-1.8 10/2009 Updated to reflect changes to Module CA.
      ES-2.4.1A 10/2009 Updated to reflect issue of Form QPR.
      ES-1.1, ES-1.3, ES-1.5.3, ES-1.6.1, ES-1.7, ES-1.15-3, ES-2.2.7, ES-2.3.2 07/2010 Updated and corrected typos.
      ES-1.13 07/2010 Updated to reflect the issuance of Module TC
      ES-2.5 07/2010 New section added to reflect transition rules for Module TC.
      ES-A.1.6 01/2011 Clarified legal basis.
      ES-1.5 04/2011 Amended to reflect new structure of Module HC.
      ES-1.6.1 01/2012 Deleted reference to reporting accountants to be in line with October 2011 amendment.
      ES-1.6.3 01/2012 Deleted reference to Module FC.
      ES-1.14 01/2012 Deleted Section on Module GS (Group Supervision).
      ES-1.18 01/2012 This Section was deleted as it is included in Chapter BC-3.
      ES-2.6 01/2012 Added Section on transitional Rules for Section BC-3 dealing with customer complaints procedures.
      ES-1.3.6 10/2013 Removed reference to Deputy Money Laundering Officer to be aligned with the Rule under Paragraph AU-1.2.2 that was amended in January 2011.
      ES-1.7.1, ES-1.13.1 and ES-2.5.2 10/2013 Removed reference to appointed representatives.
      ES-1.8.5 10/2014 Added new guidance for capital for underwriting purposes.