CBB Volume 4: Contents
Rulebook Contents (Overview)
Except for Volumes 5, 6 and 7, the basic structure of each Rulebook is the same. Each Volume starts with a contents page and an introduction containing a User's Guide and Executive Summary. Subsequent material is organised underneath the following headings:(a) High-level Standards;(b) Business Standards;(c) Reporting Requirements;(d) Enforcement and Redress; and, where appropriate,(e) Sector Guides.Amended: October 2012
Amended: July 2012
Amended: January 2008
Amended: January 2007
Volume 5 is organised by the Category of specialised firm concerned, whilst Volume 6 by subject area (authorised exchanges; issuers of securities etc).Amended: January 2007
The material in Volumes 1–4 is contained in Modules, each covering a specific area of requirements (e.g. capital). In turn, each Module is divided into Chapters, Sections and Paragraphs, as detailed below.
Each Volume has its own appendix Volume containing relevant reporting and authorisation forms; a glossary; and any supplementary information. In all cases, the main Volume is called "Part A" and the appendix Volume is called "Part B".