• GENE 5.1.1 GENE 5.1.1 Communications to Regulatory Authority must generally be in writing

    (1) This rule applies if a person is required or permitted under any law, regulations or rules to give any information (however described), or make another communication, to the Regulatory Authority.

    Examples of application of rule
    1 a person is permitted under any rules to make any application or request, or to give any election, to the authority
    2 a person is required under any regulations to give the authority any certificate, declaration, notice, return or statement of opinion or belief
    3 a person is required under any rules to notify or tell the authority about something
    (2) The person must give the information, or make the other communication, to the Regulatory Authority in writing unless:
    (a) the information or communication is required or permitted under any law, regulations or rules to be given or made to it in another way; or
    (b) the authority, whether under this subrule or otherwise, requires or permits the person to give the information, or make the communication, to it in another way.
    Note See especially rule 5.1.3 (Giving documents to Regulatory Authority — general requirements) and rule 5.4.1 (Electronic submission system).
    (3) A requirement or permission under subrule (2) (b) may be imposed or given either:
    (a) generally or otherwise by written notice published on an approved website; or
    (b) by notice given to the person in relation to the giving of particular information, or the making of a particular communication, to the Regulatory Authority by the person.
    (4) A permission under subrule (2) (b) may be given subject to conditions.
    (5) If the person gives the information, or makes the other communication, to the Regulatory Authority in contravention of:
    (a) this rule;
    (b) a requirement made under this rule; or
    (c) a condition of a permission given under this rule;
    then, for the purpose of satisfying any requirement to give the information or make the other communication to the authority, the person is taken not to have given the information or made the other communication to the authority.
    (6) Without limiting subrule (5) and any other remedies available to the Regulatory Authority in relation to that contravention, the authority may require the person to give the information or make the communication to it in accordance with this rule (including any requirement or condition under this rule) within a stated time.
    (7) The person must comply with a requirement under subrule (6).
    Editorial changes (as from 1st January 2016).

    • GENE 5.1.1 Guidance [Deleted]

      [Deleted]

      Deleted by QFCRA RM/2010-04 (as from 1st October 2010)