GENE 5.3.3 Proper completion of approved forms

(1) This rule applies if a form approved by the Regulatory Authority under rule 5.3.1, or instructions given by the Regulatory Authority under that rule in relation to a form approved by the authority, require:
(a) the form to be signed, signed in a stated way or signed by a stated person or persons;
(b) the form to be prepared in a stated way (for example, on paper of a stated size or quality or in a stated electronic form);
(c) the form to be completed in a stated way;
(d) stated information to be included in the form, or in a stated document to be attached to or given with the form;
(e) a stated document to be attached to or given with the form;
(f) the form, information or a document to be verified in a stated way (for example, by a declaration or certificate); or
(g) another requirement to be satisfied.
(2) The form is properly completed only if the requirement is complied with unless the Regulatory Authority waives the non-compliance.
(3) Without limiting subrule (2), if the form is required to be signed by 2 or more persons, the requirement is not complied with (and the form is not properly completed) if the form is not signed by each of those persons.
(4) Without limiting subrule (2), if stated information is required to be included in the form, or in a stated document to be attached to or given with the form, the requirement is not complied with (and the form is not properly completed) if:
(a) the information is not included in the form or document at all; or
(b) the information that is included:
(i) is factually inaccurate in a material particular or, for an estimate or judgment, not fairly or properly based after appropriate inquiries have been made;
(ii) is incomplete in a material particular;
(iii) is false or misleading in a material particular;
(iv) omits something without which the information is false or misleading in a material particular; or
(v) is otherwise inaccurate or incomplete in a material particular.
(5) Without limiting subrule (2), if a stated document is required to be attached to or given with the form, the requirement is not complied with (and the form is not properly completed) if:
(a) the document is not attached to or given with the form at all; or
(b) the document is attached to or given with the form but:
(i) the document itself is false or misleading in a material particular; or
(ii) the document includes information of a kind mentioned in subrule (4) (b) (i) to (v).
(6) A decision by the Regulatory Authority under subrule (2) to waive non-compliance with a requirement may be made subject to conditions.
(7) If a condition is contravened, the requirement is not complied with (and the form is not properly completed).
Amended by QFCRA RM/2015-3 and Editorial changes (as from 1st January 2016).