HC-A.3.2
A list of recent changes made to this Module is shown below:
Module Ref. | Change Date | Description of Changes |
HC-1.5 | 01/07/05 | Transparency requirements formalised |
HC-1.6 | 01/07/05 | Notification concerning senior positions/ |
HC-1.1, HC-1.2 & HC-1.4 | 01/10/05 | High level controls |
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 consistent terminology and procedures 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. |