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  • UG-1.2 Status of Provisions

    • UG-1.2.1

      The contents of the CBB Rulebook are categorised either as Rules or as Guidance. Rules have a binding effect. If a licensee breaches a Rule to which it is subject, it is liable to enforcement action by the CBB and, in certain cases, criminal proceedings by the Office of the Public Prosecutor.

      Amended: October 2012
      Amended: January 2007

    • UG-1.2.2

      Guidance is not binding; rather, it is material that helps inform a particular Rule or sets of Rules, or provides other general information. Where relevant, compliance with Guidance will generally lead the CBB to assess that the rule(s) to which the Guidance relates has been complied with. Conversely, failure to comply with Guidance will generally be viewed by the CBB as tending to suggest breach of a Rule.

      Amended: October 2012
      Amended: January 2007

    • UG-1.2.3

      The status of each Paragraph within the Rulebook is identified by its text format, as follows:

      •  Rules are in bold, font size 12. The Paragraph reference number is also highlighted in a coloured box.
      •  Guidance is in normal type, font size 11.


      Amended: January 2007

    • UG-1.2.4

      Where there are differences of interpretation over the meaning of a Rule or Guidance, the CBB reserves the right to apply its own interpretation.

      Amended: January 2007

    • UG-1.2.5 [Deleted]

      Deleted: January 2007

    • UG-1.2.6 [Deleted]

      Deleted: January 2007

    • UG-1.2.7 [Deleted]

      Deleted: January 2007

    • UG-1.2.5

      Rule UG-1.2.4 does not prejudice the rights of an authorised person to make a judicial appeal, should it believe that the CBB is acting unreasonably or beyond its legal powers.

      Amended: January 2007

    • UG-1.2.6

      All Rulebook content has the formal status of at least a Directive. Some Rulebook content may also have the status of Regulations. Rulebook content that is categorised as a Rule is therefore legally mandatory and must be complied with by those to whom the content is addressed.

      Added: January 2007

    • UG-1.2.7

      [This Paragraph was deleted in October 2012].

      Deleted: October 2012
      Added: January 2007

    • UG-1.2.8

      The CBB’s enforcement processes are set out in Module EN.

      Added: January 2007

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