‹ Schedule 1– Contraventions With Financial Penalties Stipulated Enactment Notice › Financial Services Regulations Click here to view earlier versions of Financial Services Regulations. QFC Reg No 1 – Financial Services Regulations Enactment Notice Part 1: Application, Commencement and Interpretation Article 1 - Citation Article 2 - Application Article 3 - Commencement Article 4 - Language Article 5 - Interpretation Part 2: Introduction Article 6 - Interrelation with QFC Article 7 - The Regulatory Authority Article 8 - The Appeals Body Article 9 - The Tribunal Part 3: The Regulatory Authority Article 10 - Background Article 11 - Management and constitution Article 12 - Objectives Article 13 - Principles of a Good Regulation Article 14 - Conflicts Article 15 - Powers to issue Rules Article 16 - Waiver or modification of Rules Article 17 - Guidance Article 18 - Public records Article 19 - Confidentiality Article 20 - International relations and co-operation Article 21 - Powers relating to other Regulations Part 4: Regulated Activities Article 22 - Background Article 23 - Regulated Activities Article 24 - Regulated Activities in respect of retail customers Article 25 - Activities carried on by way of business Article 26 - Activities conducted in or from the QFC Part 5: Authorisation Requirements and Process Article 27 - Application Article 28 - Form and content of Application Article 29 - Grant of Authorisation, variation or withdrawal and rejection of an Application Article 30 - Status of Authorisation Article 31 - Own initiative action by the Regulatory Authority Article 32 - Right to refer matters to the Appeals Body Article 33 - Enforceability of agreements Part 6: Controllers Article 34 - Scope of application Article 35 - Approval of Regulatory Authority Article 36 - Obligation to notify the Regulatory Authority Article 37 - Acquiring and changing control Article 38 - Decision of the Regulatory Authority Article 39 - Improperly acquired shares Article 40 - Annual reporting of Persons having control over an Authorised Firm Part 7: Individuals and Controlled Functions Article 41 - Approval of Persons performing Controlled Functions Article 42 - Form and content of Application Article 43 - Grant of approval or variation Article 44 - Status of Approval Article 45 - Misconduct Article 46 - Own initiative action by the Regulatory Authority Article 47 - Right to refer matters to the Appeals Body Part 8: Supervision and Investigations Article 48 - Powers to obtain documents and information Article 49 - Reports Article 50 - Appointment of Investigators Article 51 - Investigation of Companies, LLPs and branches Article 52 - Investigations - duties and powers Article 53 - Admissibility Article 54 - The role of the Tribunal in investigations Article 55 - Self incrimination Article 56 - Protected Items Article 57 - Obstruction of the Regulatory Authority Part 9: Disciplinary and Enforcement Powers Article 58 - Public censure Article 59 - Financial penalties Article 60 - Appointment of managers Article 61 - Undertakings Article 62 - Prohibitions and restrictions Article 63 - Injunctions Article 64 - Restitution orders Article 65 - Civil proceedings Article 66 - Appeals Article 67 - Power of Regulatory Authority to intervene in any proceedings Article 68 - Effect of provisions Article 69 - Procedural irregularities Part 10: Enforcement Procedure Article 70 - Right to make written representations Article 71 - Decision Notices Article 72 - Implementation of a Decision Notice Article 73 - Discontinuance of proceedings Article 74 - Publishing Information Article 75 - Publication of statements Article 76 - Third party rights Article 77 - Access to Regulatory Authority material Article 78 - Procedure in relation to Decision Notices Article 79 - Policy in relation to penalties Part 11: Financial Communications Article 80 - Regulatory Authority's powers to make Rules in relation to Financial Communications. Article 81 - Prohibition on issue of Financial Promotions other than by Authorised Firms. Part 12: Market Abuse Article 82 - Abusive Conduct Article 83 - Rules relating to Market Abuse Part 13: Contraventions Article 84 - Contravention of Relevant Requirements Article 85 - Involvement in contraventions Part 14: Complaints and Compensation Article 86 - Complaints Article 87 - Compensation Part 15: Appointment of Auditors and Actuaries Article 88 - Appointment of Auditors and Actuaries Article 89 - Disclosure of Information Article 90 - Rights and obligations affecting Auditors and Actuaries Article 91 - Resignation of Auditors and Actuaries Article 92 - Contravention Part 16: Control of Business Transfers Article 93 - Application Article 94 - Business Transfers Article 95 - Requirement for order sanctioning Relevant Schemes Article 96 - Application for an order from the Tribunal Article 97 - Reports Article 98 - Publicity Article 99 - Rights to participate in proceedings Article 100 - Sanction of a Relevant Scheme by the Tribunal Article 101 - Effect of order sanctioning a Relevant Scheme Article 102 - Independent Report Article 103 - Modification Part 17: Investment Funds Article 104 - Registration of Collective Investment Funds Article 105 - Power to Make Directions in respect of Collective Investment Funds Part 18: Miscellaneous Article 106 - Gaming Contracts Article 107 - Language of Communication and Documentation Article 108 - Notices and other Information provided to the Regulatory Authority Part 19: Interpretation and Definitions Article 109 - Interpretation Article 110 - Definitions Schedule 1: The Regulatory Authority Schedule 2: Other Duties, Functions and Powers Conferred on the Regulatory Authority Schedule 3: Regulated Activities and Permitted Activities Part 1: Exemptions Part 2: Specified Activities Part 3: Specified Products Part 4: Activities in the QFC under the QFC Law Schedule 4: The Appeals Body ‹ Schedule 1– Contraventions With Financial Penalties Stipulated Enactment Notice ›
