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  • HC-A.2 HC-A.2 Module History

    • HC-A.2.1

      This Module was first issued in April 2019. 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.

      October 2019

    • HC-A.2.2

      A list of recent changes made to this Module is detailed in the table below:

      Module Ref. Change Date Description of Changes
      HC-1.2.2 & HC-2.2.8 01/2020 Amended Paragraphs on policy and procedures approval.
      HC-1.5.8 01/2020 Added a new Paragraph on independent directors.
      HC-1.5.9 01/2020 Added a new Paragraph on termination of Board membership of a retired, terminated CEO.
      HC-1.8.5 04/2020 Amended Paragraph.
      HC-3.3.1 04/2020 Amended Paragraph.
      HC-3.3.2 04/2020 Amended Paragraph.
      HC-5.2.4 04/2020 Added a new Paragraph on KPIs compliance with AML/CFT requirements.
      HC-A.1.7 10/2020 Amended Paragraph reference.
           
           

    • Superseded Requirements

      • HC-A.2.3

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

        Document Ref. Subject
           
        Standard Conditions and Licensing Criteria for providers of ancillary services to the financial sector. Board, Management and Staffing
        October 2019