EN-A.2.3

Past version: Effective from 01 Oct 2012 to 31 Dec 2012
To view other versions open the versions tab on the right

A list of recent changes made to this Module is detailed in the table below:

Module Ref. Change Date Description of Changes
EN-A.1 01/2007 New Rule EN-A.1.2 introduced, categorising this Module as a Directive.
EN-1.1,
EN-2.1,
EN-3.1,
EN-4.1,
EN-5.1,
EN-6.1,
EN-7.1,
EN-8.1, and
EN-9.1
01/2007 Insertion of new 'Legal Source' Sections, reflecting CBB Law.
EN-2.2.10 01/2007 New Rule inserted on Appointed Experts reflecting CBB Law.
EN-10.3,
EN-10.4,
EN-10.5 and
EN-10.6
01/2007 Revised new Sections describing criminal sanctions contained in CBB Law.
EN-1.2.3,
EN-2.3.1,
EN-2.4,
EN-2.5,
EN-8.1 and
EN-8.3
10/2009 Amended terminology to be consistent with other Volumes of CBB Rulebook
EN-2.2.7 10/2009 Added reference to 'actuary' for investigations.
EN-5.2.7 10/2009 Paragraph deleted and replaced as it is a repetition of EN-5.2.6.
EN-5.3A 10/2009 Added section on Financial Penalties for Non-Compliant Registered Appointed Representatives.
EN-9-1 and
EN-9.2
10/2009 Reference added to appointed representatives as registered persons.
EN-A.1.2 01/2011 Clarified legal basis
EN-2 10/2011 Chapter has been streamlined and repetitive information has been eliminated and reference is now made to Section BR-3.5.
EN-5.1.1 10/2012 Amended guidance.
EN-5.3B 10/2012 Added new Section on financial penalties for date sensitive requirements