Evolution of Module
This Module was first issued in April 2007, as part of the initial release of the contents of Volume 6 (Capital Markets); it was given an effective date of 1 June 2007, with a one-year transition for existing
The Module was subsequently revised in April 2012, by the addition of several sections catering for the role and responsibilities of
relevant persons, the registration and authorisation requirements, corporate governance, and other relevant Chapters and has been reissued as Volume 7.April 2012
A list of recent changes made to this Module subsequent to the April 2012 revision is provided below:
Module Ref. Change Date Description of Changes RP-12.4.1 07/2015 Amended to reflect the process for filing for exempt and expert CIUs. RP-12.6.2 07/2015 Added requirement for placement agent to retain supporting documentation ensuring suitability of the CIU for the targeted category of investors. RP-3.6.5 10/2016 This paragraph has been deleted in October 2016. RP-1.1.1; RP-1.3.7; RP-12.1.1; RP-12.2.1 07/2017 Deleted 'resident' with respect to investors. RP-1.2.4 01/2020 Amended Paragraph.