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  • 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.