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  • Evolution of Module

    • EN-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

    • EN-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.

      Adopted: January 2007

    • EN-A.2.3

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

      Module Ref. Change Date Description of Changes
      EN-A.1 07/2007 New Rule EN-A.1.2 introduced, categorising this Module as a Directive.
      EN-1.1,
      EN- 3.1,
      EN-4.1,
      EN-5.1,
      EN- 8.1 and
      EN- 9.1      		 07/2007 Insertion of new 'Legal Source' Sections, reflecting CBB Law.
      EN-2.2.10 07/2007 New Rule inserted on Appointed Experts reflecting CBB Law.
      EN-2.3 07/2007 New procedure section introduced for investigations.
      EN-10.3,
      EN- 10.4,
      EN-10.5 and
      EN-10.6      		 07/2007 Revised/new Sections describing criminal sanctions contained in CBB Law.
      EN-1.2,
      EN-2.4,
      EN-2.5 and
      EN-8.3      		 10/2009 Amended/introduced to be consistent with other Volumes of CBB Rulebook.
      EN-2.3 10/2009 Amended terminology to be consistent with other Volumes of CBB Rulebook.
      EN-5.2.7 10/2009 Paragraph deleted and replaced as it is a repetition of EN-5.2.6.
      EN-A.1.2 07/2010 Removed reference to registered administrators.
      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-B.4.5 and EN-4.1.1 10/2012 Corrected typo.
      EN-5.1.1 10/2012 Amended guidance.
      EN-5.3A 10/2012 Added new Section on financial penalties for date sensitive requirements.
      EN-10.2A 01/2013 Section added to refer to Article 161 of the CBB Law.
      EN-5.3A.2(c) 01/2016 Corrected cross reference.
      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-5.3A.3 04/2017 Amendment to financial penalties For Date 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-B.4.6 10/2019 Added a new Paragraph on disclosure of financial penalties.
      EN-5.3B 04/2021 Added a new Section on ‘Financial Penalties for Non-compliance with Blocking/Unblocking Requirements’.