BC-A.2.3
Past version: Effective from 01 Apr 2020 to 30 Sep 2020
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 |
| BC-A.1 | 07/2007 | New Rule BC-A.1.5 introduced, categorising this Module as a Directive. |
| BC-2.8.14 and 2.12.2(k) | 04/2008 | Clarified the record retention period to be in line with Article 60 of the CBB Law. |
| BC-A.1.3 | 07/2008 | Corrected reference to read investment firm licensee. |
| BC-2.2 | 07/2008 | Added reference and definition of accredited investor and expert investor to client classification. |
| BC-2.2 | 10/2009 | Updated client classification and definitions. |
| BC-2.7 | 10/2009 | Corrected to read accredited investors. |
| BC-2.8.6 | 07/2010 | Paragraph amended. |
| BC-2.9.1 and BC-2.9.2 | 07/2010 | Updated to include requirements regarding complaints. |
| BC-2.11.1 | 07/2010 | Updated to be in line with Article 117 of the CBB Law. |
| BC-A.1.6 | 01/2011 | Clarified legal basis. |
| BC-2.3.15 | 01/2001 | Cross reference added to Section GR-2.2 |
| BC-B.1.3 | 10/2011 | Updated scope of application to reflect new Chapter BC-3. |
| BC-2.9 and BC-3 | 10/2011 | Updated consumer complaints Section in line with results of consultation. |
| BC-3.2 and BC-3.3 | 01/2012 | Minor corrections to correct typos and clarify language. |
| BC-3.3.9 | 01/2012 | Deleted Paragraph as it repeats what is in Paragraph BC-3.3.7. |
| BC-3.1.3A | 07/2012 | Added guidance on the appointment of the customer complaints officer. |
| BC-2.7.14 and BC-2.7.16 | 07/2013 | Clarified Rules on allocations. |
| BC-3.7 | 07/2013 | Additional details provided on reporting of complaints. |
| BC-1.1.4 | 10/2013 | Clarified language. |
| BC-2.3.15 and BC-2.3.17 | 10/2013 | Clarified the application of these two Paragraphs to the employees of the investment firm licensee. |
| BC-2.10.2, BC-2.10.9 and BC-2.10.10 | 07/2015 | Removed reference to corporate finance to be in line with Paragraph AU-1.4.43. |
| BC-2.4.11 | 10/2017 | Additional requirement on signed client agreement. |
| BC-2.13 | 01/2019 | Added a new Section on Brokerage Fees. |
| BC-3.3.15 | 04/2020 | Amended Paragraph adding reference to CBB consumer protection. |
| BC-3.5.6 | 04/2020 | Amended Paragraph adding reference to CBB consumer protection. |
| BC-3.7.1 - BC-3.7.3 | 04/2020 | Amended Paragraph adding reference to CBB consumer protection. |