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Qatar Financial Centre Legislation: Contents

  • Qatar Financial Centre Legislation
    • QFC Law No. (7) of Year 2005
    • QFC Regulations
    • QFCA Rules
    • QFCRA Rules
      • Anti-Money Laundering and Combating the Financing of Terrorism (General Insurance) Rules 2019 (AMLG)
      • Anti-Money Laundering and Combating the Financing of Terrorism Rules 2019 (AML/CFTR)
      • Banking Business Prudential Rules 2014 (BANK)
      • Captive Insurance Business Rules 2011 (CAPI)
      • Collective Investment Schemes Rules 2010 (COLL)
      • Customer and Investor Protection Rules 2019 (CIPR)
        • CIPR Chapter 1 General
        • CIPR Chapter 2 Principles of fair treatment of customers
        • CIPR Chapter 3 General obligations of all authorised firms
        • CIPR Chapter 4 Obligations of all authorised firms — advertisements, personal contact with customers, and initial disclosure document
        • CIPR Chapter 5 Investment management business and investment mediation business
          • CIPR Part 5.1 Application and general provisions
          • CIPR Part 5.2 Investment managers
          • CIPR Part 5.3 Investment intermediaries (including investment advisers)
            • CIPR 5.3.1 Initial disclosure document — additional requirements
            • CIPR 5.3.2 Investment advice for retail customers — general requirements
            • CIPR 5.3.3 Investment intermediation and investment advice for retail customers — “know your customer”
            • CIPR 5.3.4 Investment advice for retail customers — independence
          • CIPR Part 5.4 Packaged investment products — key information document
          • CIPR Part 5.5 Packaged investment products — other matters
        • CIPR Chapter 6 Insurance business and insurance mediation business
        • CIPR Chapter 7 Deposit-taking business
        • CIPR Chapter 8 Recordkeeping
        • CIPR Schedule 1 Packaged investment products — key Information document
        • Glossary
      • Customer Dispute Resolution Scheme Rules 2019 (CDRS)
      • General Rules 2005 (GENE)
      • Governance and Controlled Functions Rules 2020 (CTRL)
      • Individuals (Assessment, Training and Competency) Rules 2014 (INDI)
      • Insurance Business Rules 2006 (PINS)
      • Insurance Mediation Business Rules 2011 (IMEB)
      • Interpretation and Application Rules 2005 (INAP)
      • Investment Management and Advisory Rules 2014 (INMA)
      • Islamic Banking Business Prudential Rules 2015 (IBANK)
      • Islamic Finance Rules 2005 (ISFI)
      • Professional Investors Fund Rules 2022 (PROF)
      • Representative Office Rules 2020 (REPO)
    • Rulemaking Instruments (By year)
    • Court and Regulatory Tribunal Regulations and Rules
    • Waivers and Modifications
    • Consultation Papers
    • QFC Forms
    • QFC Regulations Guidance
    • QFCA Legal Interpretations
    • Policy Statements, Notices and Email Alerts
    • Gazette
    • QFCRA Rulebooks Archive
    • QFC Regulations Archive
    • QFC Forms Archive
    • QFC Law Archive
    • QFCA Rules Archive
    • QFC Regulations Guidance Archive
    • Amending Documents Archive
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  1. Qatar Financial Centre Legislation
  2. QFCRA Rules
  3. Customer and Investor Protection Rules 2019 (CIPR)
  4. CIPR Chapter 5 Investment management business and investment mediation business
  5. CIPR Part 5.3 Investment intermediaries (including investment advisers)
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Current Word Version
‹ CIPR 5.2.4 Investment management services for retail customers — “know your customer” CIPR 5.3.1 Initial disclosure document — additional requirements ›

CIPR Part 5.3 Investment intermediaries (including investment advisers)

Note
This Part applies to an investment intermediary (including an investment manager, bank or insurer that is acting as an investment intermediary) that carries on business in or from the QFC — see rule 5.1.1 (3).

Derived from QFCRA RM/2019-2 (as from 1st January 2020).
‹ CIPR 5.2.4 Investment management services for retail customers — “know your customer” CIPR 5.3.1 Initial disclosure document — additional requirements ›

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