EN-A.2.3

Past version: Effective from 01 Apr 2019 to 31 Mar 2021
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
EN-10.3A.1 01/2013 Section added to refer to Article 161 of the CBB Law.
EN-5.2.2 10/2013 Clarified guidance to be in line with CBB Law.
EN-5.3B 10/2013 Clarified Rules for financial penalties for date sensitive requirements.
EN-A.1.2 04/2016 Reference added to amendments to the CBB Law.
EN-B.1.4 04/2016 New guidance Paragraph added to broaden the scope of the application of financial penalties to persons referred to in paragraph (b) of Article (68 bis 1) of the CBB Law.
EN-5 04/2016 Amended to be in line with amendments to Article 129 of the CBB Law.
EN-5.3B.3 04/2017 Amendment to financial penalties for Data Sensitive Requirements.
EN-B.2.9 04/2019 Guideline moved from Section EN-4.3.
EN-4.3.3 04/2019 Moved guideline to Section EN-B.2.
EN-6 04/2019 Deleted Chapter.