HC-A.3.3
Past version: Effective from 01 Jan 2009 to 30 Sep 2009
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 | 01/07/05 | Transparency requirements formalised |
| HC-1.6 | 01/07/05 | Notification requirements formalised |
| HC-1.1, 1.2 & 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, 1.5.5 & 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 and 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 |
| HC-2.1.16 | 01/2009 | Amendment to notification process for "approved person" status |
| HC-1.5.3 | 01/2009 | Requirement to appoint a permanent replacement within 120 days when a controlled function falls vacant. |