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  • AA-A.2 AA-A.2 Module History

    • Evolution of Module

      • AA-A.2.1

        This Module was first issued in October 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.

        October 2010

      • AA-A.2.2

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

        Module Ref. Change Date Description of Changes
        AA-A.1.3 01/2011 Clarified legal basis.
        AA-3.1.1 07/2011 Excluded money changers and administrators from Paragraph AA-3.1.1.
        AA-5 04/2012 Chapter amended and content moved to Section BR-3.5 for money changers and administrators (or Module GR for rep offices) and retitled as Role of External Auditor as Appointed Expert.
        AA-1.3.2 10/2012 Guidance Paragraph deleted as five year period varies depending on type of specialised licensee and when license was granted.
        AA-1.5.4 and AA-1.5.5 10/2012 Clarified guidance by indicating what Law is being referred to.
        AA-3.3 10/2012 Section deleted as report can now also be completed by approved consultancy from as per Section FC-4.3.
        AA-3.2.2 and AA-3.2.3 04/2014 Added specific auditor reports applicable to financing companies.
        AA-3.1 10/2016 Deleted Section on Review of QPR