• GENE Part 4A.1 GENE Part 4A.1 General

    • GENE 4A.1.1 Introductory

      This Chapter provides a framework for making confidential reports about alleged wrongdoing by authorised firms or persons connected with such firms. Protected reporting is often called whistleblowing. The maker of such a report is often (but not necessarily) an employee of the firm concerned.

      Inserted by QFCRA RM/2018-3 (as from 1st May 2018).

    • GENE 4A.1.2 Meaning of protected report and protected reporter

      (1) In this Chapter:
      protected report means a report that meets all of the following requirements:
      (a) it is made in good faith;
      (b) it is about an authorised firm or a person connected with such a firm;
      (c) it is made to the firm itself or an authority or officer specified or referred to in subrule (3);
      (d) if it is made to an authority or officer, the authority or officer is responsible for matters of the kind reported;
      (e) it gives information that the reporter believes shows that any of the following has happened, is happening, or is likely to happen:
      (i) a criminal offence (whether under the law of Qatar or of another jurisdiction);
      (ii) a contravention of a relevant requirement, or a failure to comply with a legal obligation of another kind;

      Note For contravention of a relevant requirement, see FSR, article 84.
      (iii) the endangering of the health and safety of an individual;
      (iv) a breach of an authorised firm's policies and procedures (including, for example, a breach of any code of conduct or policy in relation to ethical behaviour);
      (v) the deliberate concealment of a matter referred to in any of subparagraphs (i) to (iv).

      protected reporter means an individual who makes a protected report.

      Guidance
      Nothing in this Chapter requires that a protected reporter be an employee of the authorised firm about which the report is made.
      (2) For this Chapter, a report is made in good faith only if the individual who made it believes on reasonable grounds that it is true.
      (3) For this Chapter, a report with the characteristics set out in the definition of protected report in subrule (1) is a protected report whether it is made to:
      (a) the authorised firm concerned;
      (b) the Regulatory Authority;
      (c) an officer of the State to whom crimes may be reported under Law No. (23) of 2004, or whose responsibilities include the matters that are referred to in the report; or
      (d) a regulatory or governmental authority, body or agency in a jurisdiction outside the QFC (whether in Qatar or not), including a body or officeholder responsible for enforcing the criminal law of the jurisdiction.
      Inserted by QFCRA RM/2018-3 (as from 1st May 2018).

    • GENE 4A.1.3 Reports to be treated as protected until contrary established

      (1) An authorised firm that receives a report that purports to be a protected report:
      (a) must treat the individual who made the report as a protected reporter; and
      (b) must treat the report as a protected report; until the firm has decided, on the basis of a proper investigation, that the report is not a protected report.
      (2) Subrule (3) applies if an authorised firm becomes aware that an individual has made a report that purports to be a protected report about the firm to an authority or officer specified or referred to in rule 4A.1.2 (3).
      (3) The firm must treat the individual as a protected reporter until the firm establishes that the report is not a protected report.
      Inserted by QFCRA RM/2018-3 (as from 1st May 2018).