General Rules 2005 (GENE)

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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:
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:
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



Amended by QFCRA RM/2018-4 (as from 1st August 2018)
Amended by QFCRA RM/2021-1 (as from 1st July 2021).