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AU-A.2.3

Past version: Effective from 01 Apr 2008 to 30 Jun 2008
To view other versions open the versions tab on the right

A list of recent changes made to this Module is provided below:

Module Ref. Change Date Description of Changes
AU-A.1.3 07/2006 Deletion of reference to 'acting as a trust service provider'.
AU-1.1.13 07/2006 Deletion of reference to 'acting as a trust service provider'.
AU-1.1.14 07/2006 Clarification of scope of exemption.
AU-1.4.50 07/2006 Deletion of paragraph relating to 'acting as a trust service provider'.
AU-1.4.51 07/2006 Deletion of paragraph relating to 'acting as a trust service provider'.
AU-A.1 07/2007 Changes to reflect new CBB Law and reclassification of administrators as ancillary services providers (i.e. licensees, to be subject to Volume 5 of the CBB Rulebook).
AU-1.3 07/2007 Deletion of this Section to reflect reclassification of administrators as ancillary services providers (i.e. licensees, to be subject to Volume 5 of the CBB Rulebook).
AU-1.4 07/2007 Clarification of exemption in Rule AU-1.4.8; and minor change to definition of collective investment undertaking (to align with new Module CIU, Volume 6).
AU-4 07/2007 Chapter deleted to reflect reclassification of administrators as ancillary services providers (i.e. licensees, to be subject to Volume 5 of the CBB Rulebook).
AU-5.1 07/2007 Section amended to reflect new procedures reflecting CBB Law.
AU-5.3 07/2007 Deleted following reclassification of administrators as ancillary services providers (i.e. licensees, to be subject to Volume 5 of the CBB Rulebook).
AU-5.4 07/2007 Amended to reflect new CBB Law procedures.
AU-5.5 07/2007 Amended to reflect new CBB Law procedures.
AU-6 07/2007 New Chapter AU-6 on application and license fees (old material on fees, previously contained in Module GR, deleted).
AU-5.1.5 and 5.1.5A 01/2008 Clarified CBB's requirements for letters of comfort and/or letters of guarantee.
AU-5.1.13 01/2008 Clarified CBB's requirements for items that must be in place within 6 months of a new license being issued.
AU-1.1.18 04/2008 Clarified that Category 3 investment firms must be independent.
AU-5.2.2 04/2008 Clarified to whom Form 3 should be sent to if dealing with a request for an appointment of MLRO from an existing investment firm licensee.
AU-5.5.5 04/2008 Outlined CBB's requirements in instances where a controlled function becomes vacant.