| General Rulebook (GENE) |
GENE Chapter 1:
General provisions |
GENE Part 1.1 Introductory |
| GENE Part 1.2 Principles relating to the conduct, operation and financial standing of authorised firms |
GENE Chapter 2:
Fitness and Propriety |
GENE Part 2.1 Application |
| GENE Part 2.2 General provisions |
| GENE Part 2.3 Fitness and propriety |
| GENE Part 2.4 Other authorisation requirements |
| GENE Part 2.5 Restrictions on Client Money and Insurance Money [deleted] |
GENE Chapter 3:
General provisions |
GENE Part 3.1 Disclosure of regulatory status |
| GENE 3.2 Communication with the Regulatory Authority - [Deleted] |
| GENE 3.3 Complaints against the Regulatory Authority - [Deleted] |
| GENE 3.4 Registers of Public Information - [Deleted] |
| GENE Part 3.5 Provision of information |
GENE Chapter 4:
Notice of certain events required |
GENE 4.1 Application and Purpose - [Deleted] |
| GENE 4.2 Provision of Notifications - [Deleted] |
| GENE 4.3 Notice of certain events required - [Deleted] |
GENE Chapter 4A:
Protected reporting |
GENE 4A.1 General |
| GENE 4A.2 Protected reporting policies |
GENE Chapter 5:
Communications to Regulatory Authority |
GENE Part 5.1 Communications to Regulatory Authority — general provisions |
| GENE Part 5.2 Communications to Regulatory Authority — accuracy and completeness of information |
| GENE Part 5.3 Approved forms |
| GENE Part 5.4 Electronic submission system |
GENE Chapter 5A:
Giving of written notices by Regulatory Authority |
GENE Part 5A.1 Application |
| GENE Part 5A.2 Rules about giving written notices |
GENE Chapter 6:
Recordkeeping |
GENE Part 6.1 General recordkeeping requirement |
| GENE Part 6.2 Maintenance of records |
GENE Chapter 7:
Waivers and modifications |
GENE 7.1 Application - [Deleted] |
| GENE 7.2 Application to Waive or Modify Rules - [Deleted] |
| GENE 7.3 Procedure on Receipt of an Application - [Deleted] |
| GENE 7.4 Conditions for Granting a Waiver or Modification - [Deleted] |
| GENE 7.5 Applicability of a Waiver or Modification Notice - [Deleted] |
| GENE 7.6 Continuing Relevance of a Written Notice - [Deleted] |
| GENE 7.7 Publication of a Waiver or Modification Notice - [Deleted] |
| GENE 7.8 Revocation or Variation of a Waiver or Modification Notice - [Deleted] |
GENE Chapter 8:
Controllers and close links |
GENE Part 8.1 General provisions |
| GENE Part 8.2 Seeking approval to change control — QFC entities |
| GENE Part 8.3 Giving notice about changes in control — branches |
| GENE Part 8.4 Giving notice about controllers |
| GENE Part 8.5 Systems, controls and reports |
| GENE 8.6 Annual Controllers Report - [Deleted] |
GENE Chapter 9:
Accounting and Auditing |
GENE Part 9.1 Application |
| GENE Part 9.2 Accounting records |
| GENE Part 9.3 Accounting standards |
| GENE Part 9.4 Time limits for annual financial statements and other matters for assurance |
| GENE Part 9.5 Assurance engagements and reports |
| GENE Part 9.6 Change in the financial year end |
| GENE Part 9.7 Auditors |
GENE Chapter 10:
Fees |
GENE Part 10.1 Application |
| GENE Part 10.2 General provisions |
| GENE Part 10.3 Supplementary fees |
| GENE Part 10.4 Application fees |
| GENE Part 10.5 Annual fees |
| GENE Part 10.6 Fees for extracts of information from the registers of public information |
| GENE Part 10.7 Fees for certain reporting etc contraventions |
| GENE Part 10.8 Fees for failure to comply with certain requirements |
GENE Chapter 11:
Restrictions in relation to specified products |
GENE 11.1 Purpose - [Deleted] |
| GENE 11.2 Futures and Options - [Deleted] |
| GENE 11.3 Qualifying Contracts of Insurance - [Deleted] |
GENE Schedule 1:
Guidance on fitness and propriety of authorised firms |
GENE A1.1 Introduction |
| GENE A1.2 Fitness and Propriety Criteria |
GENE Schedule 2:
Overview of reporting requirements |
GENE Schedule 3:
Overview of recordkeeping requirements |
GENE Schedule 4:
Fees table |
GENE Part A4.1 The fees table |
| GENE Part A4.2 Application fees |
| GENE Part A4.3 Applications to conduct additional regulated activities |
| GENE Part A4.4 Other fees |
| GENE Glossary |
