Article 18 - Public records
Regulatory Authority shall make the following information available to the public during normal working hours:
Regulations issued under the QFC Law;
Rules issued by the Regulatory Authority and any proposed Rules to the extent required by Article 15(4);
(C) waivers or modifications of
Rules to the extent required by Article 16(4);
Guidance to the extent required by Article 17(6) and proposed general Guidance to the extent required by Article 17(3);
(E) consultative documents, open letters, information notices, policy statements and open discussion documents issued by the
(F) details of all
Authorised Firms together with such other information relating to the Regulated Activities that such Authorised Firms are authorised to carry on as the Regulatory Authority considers appropriate;
(G) details of all
Approved Individuals recording the full name of each Approved Individual, any previous names of the Approved Individual, the name of the Authorised Firm(s) for or on behalf of whom the Approved Individual performs Controlled Functions, the Controlled Functions that the Approved Individual is registered to perform and such other information as the Regulatory Authority considers appropriate;
(H) public censures and the results of other enforcement or disciplinary actions pursuant to Part 9 (Disciplinary and Enforcement Powers) (subject to completion of any applicable appeal at the
Appeals Body or expiry of any applicable right to appeal);
(I) details of decisions by the
(J) if the
Regulatory Authority considers it appropriate, information concerning conditions or requirements imposed on the Authorised Firms or Approved Individuals and the withdrawal of any Authorisations or approvals whether as a result of the own initiative powers of the Regulatory Authority or otherwise;
Regulatory Authority's policy on penalties;
Regulatory Authority's annual report; and
(M) such other information consistent with the
Regulatory Objectives as the Regulatory Authority considers to be relevant in connection with its functions.
(2) The information referred to in Article 18(1) may be kept and made available in such form and manner as the
Regulatory Authority considers appropriate provided that the Regulatory Authority shall also publish quarterly details of the Regulations and Rules referred to in Article 18(1)(A)-(B) issued during the preceding quarter. The Regulatory Authority may publish such information with or without charge.
Regulatory Authority shall not be obliged to make information available to the public or otherwise publish it if it believes that to do so would not be in the public interest or in the interests of the Financial System or would be unfair to any Person or Persons (other than the Regulatory Authority itself) to whom such information relates (in whole or in part).