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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/controllers
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-3.1HC-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.