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BC-A.2.3

Past version: Effective from 01 Jan 2019 to 31 Mar 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.