• Past Versions

    • Anti-Money Laundering and Sanctions Rules and Guidance (AML)

      Version Effective Format
      AML VER01.041015 21 October 2015 – 19 June 2017 PDF Version
      AML VER02.150617 20 June 2017 – 15 April 2019 PDF Version
      AML VER03.150419 16 April 2019 – 2 February 2020 PDF Version
      AML VER04.030220 3 February 2020 – 8 November 2020 PDF Version
      AML VER05.091120 9 November 2020 – 30 March 2021 PDF Version

    • Conduct of Business Rules (COBS)

      Version Effective Format
      COBS VER01.041015 21 October 2015 – 19 June 2017 PDF Version
      COBS VER02.150617 20 June 2017 – 4 March 2018 PDF Version
      COBS VER03.210218 5 March 2018 – 24 June 2018 PDF Version
      COBS VER04.250618 25 June 2018 – 09 September 2018 PDF Version
      COBS VER05.100918 10 September 2018 – 10 March 2019 PDF Version
      COBS VER06.110319 11 March 2019 – 2 February 2020 PDF Version
      COBS VER07.030220 3 February 2020 – 23 February 2020 PDF Version
      COBS VER08.240220 24 February 2020 – 8 November 2020 PDF Version
      COBS VER09.091120 9 November 2020 – 30 March 2021 PDF Version

    • Fees Rules (FEES)

      Version Effective Format
      FEES VER01.041015 21 October 2015 – 21 April 2016 PDF Version
      FEES VER02.170416 22 April 2016 – 1 November 2016 PDF Version
      FEES VER03.171016 2 November 2016 – 18 June 2017 PDF Version
      FEES VER04.170617 19 June 2017 – 4 March 2018 PDF Version
      FEES VER05.210218 5 March 2018 – 24 June 2018 PDF Version
      FEES VER06.250618 25 June 2018 – 10 March 2019 PDF Version
      FEES VER07.110319 11 March 2019 – 17 November 2019 PDF Version
      FEES VER08.181119 18 November 2019 – 2 February 2020 PDF Version
      FEES VER09.030220 3 February 2020 – 23 February 2020 PDF Version
      FEES VER10.240220 24 February 2020 – 8 November 2020 PDF Version
      FEES VER11.091120 9 November 2020 – 24 May 2021 PDF Version

    • Glossary (GLO)

      Version Effective Format
      GLO VER01.041015 21 October 2015 – 14 May 2017 PDF Version
      GLO VER02.150517 15 May 2017 – 19 June 2017 PDF Version
      GLO VER03.150617 20 June 2017 – 4 March 2018 PDF Version
      GLO VER04.210218 5 March 2018 – 24 June 2018 PDF Version
      GLO VER05.250618 25 June 2018 – 09 September 2018 PDF Version
      GLO VER06.100918 10 September 2018 – 10 March 2019 PDF Version
      GLO VER07.110319 11 March 2019 – 15 April 2019 PDF Version
      GLO VER08.150419 16 April 2019 – 2 February 2020 PDF Version
      GLO VER09.030220 3 February 2020 – 23 February 2020 PDF Version
      GLO VER10.240220 24 February 2020 – 8 November 2020 PDF Version
      GLO VER11.091120 9 November 2020 – 30 March 2021 PDF Version

    • Prudential — Investment, Insurance Intermediation and Banking Rules (PRU)

      Version Effective Format
      PRU VER01.041015 21 October 2015 – 09 April 2017 PDF Version
      PRU VER02.040417 10 April 2017 – 14 May 2017 PDF Version
      PRU VER03.150517 15 May 2017 – 02 January 2018 PDF Version
      PRU VER04.030118 03 January 2018 – 09 September 2018 PDF Version
      PRU VER05.100918 10 September 2018 – 19 December 2018 PDF Version
      PRU VER06.201218 20 December 2018 – 08 March 2020 PDF Version
      PRU VER07.090320 9 March 2020 – 8 November 2020 PDF Version
      PRU VER08.091120 9 November 2020 – 30 March 2021 PDF Version
      PRU VER09.310321 31 March 2021 – 24 May 2021 PDF Version

    • Rules of Market Conduct (RMC)

      Version Effective Format
      RMC VER01.041015 21 October 2015 – 4 March 2018 PDF VersionPDF Version