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  • Evolution of the Module

    • TC-A.2.1

      This Module was first issued in July 2010. Any material changes that are subsequently made to this Module are annotated with the calendar quarter date in which the change is made; Chapter UG-3 provides further details on Rulebook maintenance and version control.

      Adopted: July 2010

    • TC-A.2.2

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

      Module Ref. Change Date Description of Changes
      TC-A.1.5 01/2011 Clarified legal basis.
      TC-1.1.6, 1.1.9, 1.1.11, 1.1.13, 1.1.15, 1.1.18, 1.1.20 and 1.1.22 01/2011 Paragraphs deleted as considered duplicate and found in other parts of Volume 4.
      TC-1.1.16 01/2011 Amended requirements for position of MLRO.
      Appendix TC-1 01/2011 Clarified how competence can be demonstrated for the position of Director.
      TC-1.1.7, TC-1.1.8, TC-1.1.10, TC-1.1.14 04/2011 Corrected cross references.
      Appendix TC-1 01/2012 Added core competencies for compliance officer.
      Module TC 10/2013 Removed references to Deputy Money Laundering Officer (DMLRO) to be in line with changes made to Module AU in January 2011.
      Module TC 10/2013 Removed references to appointed representatives.
      TC-B.1.4 07/2014 Clarified scope of application to include board members.
      Appendix TC-1 10/2015 Added additional example of certification for financial instruments trader.
      TC-1.1.17 01/2016 Corrected typo.

    • TC-A.2.3

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

      Adopted: July 2010