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  • ES-2.1 ES-2.1   30 April 2006

    • ES-2.1.1

      Investment firm licensees issued a license after 30 April 2006 must comply with the requirements contained in the first phase release of Volume 4 (Investment Business) from the date of issue of their license.

      Amended: January 2007

    • ES-2.1.2

      The earliest effective date of Volume 4 (Investment Business), therefore, is 30 April 2006.

    • ES-2.1.3

      The first phase release of Volume 4 comprises Modules ES, UG, AU, PB, AA, GR, CA, BC, CL, FC and EN.

    • ES-2.1.4

      Other implementation deadlines are prescribed in Sections ES-2.2 to ES-2.4.