HC-A.3.3
Past version: Effective from 01 Apr 2008 to 31 Dec 2008
To view other versions open the versions tab on the right
A list of recent changes made to this Module is shown below:
| Module Ref. | Change Date | Description of Changes |
| HC-1.5 | 01/04/05 | Transparency requirements formalized. |
| HC-1.6 | 01/04/05 | Notification requirements formalized. |
| HC-1.1, 1.2 & HC-1.4 | 01/10/05 | High-level controls enhanced. |
| HC-1.5 | 01/10/05 | New SPV requirements. |
| HC-3.1 – HC-3.2 | 01/10/05 | Revised compliance function requirements. |
| HC-1.5.3, HC-1.5.5 & HC-4.1 | 01/01/06 | Revised notification requirements for SPVs and dealing staff. |
| HC-2, HC-3 and HC-4 | 01/07/06 | Requirements relating to controllers moved to Module GR; Remaining requirements relating to 'fit and proper' re-drafted to ensure consistency with other Rulebook Volumes (without changing the substance of the previous 'fit and proper' requirements); Requirements relating to dealers incorporated into the 'fit and proper' requirements. |
| HC-1.2 & HC-1.3 | 01/10/07 | Reordering of Paragraphs to separate Rules from Guidance. |
| HC-A.1 | 10/2007 | New Rule HC-A.1.5 introduced, categorising this Module as a Directive. |
| HC-1.3.5 | 04/2008 | Mandatory requirement for at least one independent non-executive director |