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  • AU-A.2 AU-A.2 Module History

    • Evolution of Module

      • AU-A.2.1

        This Module was first issued in December 2010, as part of Volume 5 (Specialised licensees). 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.

        December 2010

      • AU-A.2.2

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

        Module Ref. Change Date Description of Changes
        AU-A.1.4 01/2013 Updated legal basis.
        AU-1.1 01/2013 References added to requirements under Resolution No.(16) for the year 2012.
        AU-4.4.4 01/2013 Corrected cross reference to CBB Law.
        AU-5.2 07/2013 Amended due date and collection process for annual license fee.
        AU-A.1.4 07/2015 Legal basis updated to reflect Resolution No (43) of 2011 and Resolution No (23) of 2015.
        AU-4.2 07/2015 Amended to be in line with Resolution No (23) of 2015 on Prior Approval Requirements for Approved Persons.
        AU-3 01/2016 Amended to be in line with Resolution No (23) of 2015 on Prior Approval Requirements for Approved Persons.
        AU-4.2 01/2016 Minor amendments to be aligned with other Volumes of the Rulebook.
        AU-4.5 07/2017 Added new Section on Publication of the Decision to Grant, Cancel or Amend a License.
        AU-4.1.1 04/2018 Amended Paragraph.
        AU-4.1.10 04/2018 Amended Paragraph.
        AU-4.2.2 04/2018 Amended Paragraph.
        AU-1.1.4 07/2019 Amended Paragraph to reflect online submission of Form 1.
        AU-4.1.1 07/2019 Amended Paragraph to remove references to hardcopy Form 1 submission to online submission.
        AU-4.1.13 10/2019 Changed from Rule to Guidance.
        AU-4.1.14 10/2019 Changed from Rule to Guidance.
        AU-4.1.15 10/2019 Changed from Rule to Guidance.
        AU-4.5.1 10/2019 Changed from Rule to Guidance.
        AU-4.2.8 01/2021 Added a new Paragraph on compliance of approved persons with the fit and proper requirement.

    • Superseded Requirements

      • AU-A.2.3

        This Module supersedes the following provisions contained in circulars or other regulatory instruments:

        Document reference Module Ref. Document Subject
        Standard Conditions and Licensing Criteria for a representative office licensees AU-2 Scope of license and licensing conditions.
        Circular EDFIS/C/011/2007 AU-5 CBB's New License Fees System
        Circular BC/11/98 27/7/98 AU-3 Appointment and suitability of Directors and senior managers ('fit and proper').
        December 2010

      • AU-A.2.4

        Further guidance on the implementation and transition to Volume 5 (Specialised Licensees) is given in Module ES (Executive Summary).

        December 2010