CIPR 4.4.2 Initial disclosure documents — content

(1) An authorised firm's initial disclosure document must begin with the following information in the following order:
(a) the legal name and business address of the firm, and its trading name if it is different to the legal name;
(b) the date on which the document came into effect;
(c) either of the following statements about the firm's authorisation:
(i) "Authorised by the Qatar Financial Centre Regulatory Authority";
(ii) "Authorised by the QFC Regulatory Authority";

Note Either of these statements is also required in the firm's business documents — see GENE, rule 3.1.2.
(d) information (in plain English) about the regulated activities that the firm is authorised to undertake;
(e) a statement as to whether or not the firm's regulated activities are conducted in accordance with Shari'a;
(f) a description (see subrule (2)) of the services that the firm offers;
(g) information about:
(i) the firm's internal complaint-handling procedures, including information about how a complaint can be made to the firm; and
(ii) the customer dispute resolution scheme.
(2) The description of the firm's services must include details of the nature and scope of the services offered by the firm. The initial disclosure document must also state whether there are any restrictions on the nature and scope of those services (whether as a result of regulatory provisions or the policy of the firm) and if so, must give details of the restrictions.
(3) Any other information that is required by a provision of these rules to be in the firm's initial disclosure document must follow the information required by subrule (1).
Derived from QFCRA RM/2019-2 (as from 1st January 2020).