General Rule 3.3.2
QFCA may operate an electronic submission system (Electronic System) to allow Licensed Firms, Authorised Firms, or other Persons approved in writing by the QFCA (Registered Users) to communicate with it or with the CRO, to produce documents and information in an electronic form. The QFCA may issue instructions for, amongst other things:
(i) access to, guidelines concerning and the use of the Electronic System;
QFCA's approval of any individuals nominated to access and use the Electronic System on behalf of a Registered User;
(iii) withdrawal of access to Registered Users or any individual previously approved to access and use the Electronic System on behalf a Registered User; and
(iv) measures that the
QFCA considers necessary or desirable to maintain the integrity and security of the Electronic System.
(B) The Registered User must ensure that:
(i) only suitable individuals have access to the Electronic System;
(ii) individuals who have access to the Electronic System follow the usage instructions and use the Electronic System properly;
(iii) it has adequate policies, procedures, systems and controls to comply with this Rule 3.3; and keep necessary records; and
(iv) it and its directors, officers, employees, agents and contractors do not do, or fail to do, anything that compromises the integrity or security of the Electronic System.
(C) If a communication is made to the
QFCA or the CRO using the Electronic System, the communication will be deemed to have been made at the time it is received by the QFCA or the CRO; and for the purposes of these Rules, to have been Signed and made in writing.
(D) This rule is additional to, and does not limit, the generality of Rule 3.3.1 (Communication with the
QFCA and the CRO), any other provision of these Rules or any other Rules.
|Amended (as from 23rd September 2014)|