| Governance and Controlled Functions Rules 2020 (CTRL) |
CTRL Chapter 1:
General |
CTRL Part 1.1 Preliminary |
| CTRL Part 1.2 Key Concepts |
CTRL Chapter 2:
Corporate governance principles |
CTRL 2.1.1 Principle 1 — approval of corporate governance framework |
| CTRL 2.1.2 Principle 2 — implementation of corporate governance framework |
| CTRL 2.1.3 Principle 3 — knowledge, skills and expertise |
| CTRL 2.1.4 Principle 4 — review |
| CTRL 2.1.5 Principle 5 — transparency |
CTRL Chapter 3:
Governing bodies |
CTRL Part 3.1 Governing bodies — all authorised firms |
| CTRL Part 3.2 Governing bodies — branches |
| CTRL Part 3.3 Governing bodies — firms incorporated in QFC |
| CTRL Part 3.4 Statements of compliance with Chapter 3 |
CTRL Chapter 4:
Senior management |
CTRL 4.1.1 What is an authorised firm’s senior management? |
| CTRL 4.1.2 Senior management’s role |
| CTRL 4.1.3 Duties of individuals towards firm |
| CTRL 4.1.4 Requirement for firms to have senior executive function |
| CTRL 4.1.5 Requirement for firms to have finance function |
CTRL Chapter 5:
Controlled functions generally |
CTRL 5.1.1 Exercise of 2 or more controlled functions by same individual |
| CTRL 5.1.2 Performing controlled functions within a corporate group |
CTRL Chapter 6:
Internal controls and assurance |
CTRL Part 6.1 General |
| CTRL Part 6.2 Risk management function |
| CTRL Part 6.3 Compliance oversight function |
| CTRL Part 6.4 Internal audit function |
| CTRL Part 6.5 Actuarial function |
CTRL Chapter 7:
Risk management |
CTRL 7.1.1 Application of Chapter 7 |
| CTRL 7.1.2 Firms to have risk management framework |
| CTRL 7.1.3 What is risk management? |
| CTRL 7.1.4 What is the risk management framework? |
| CTRL 7.1.5 Risks to be addressed |
| CTRL 7.1.6 Risk appetite statement |
| CTRL 7.1.7 Risk management strategy |
| CTRL 7.1.8 Firms must provide appropriate training |
| CTRL 7.1.9 Independence of certain employees |
CTRL Chapter 8:
Outsourcing |
| CTRL Part 8.1 Outsourcing generally |
| CTRL Part 8.2 Material outsourcing arrangements |
CTRL Chapter 9:
Islamic financial institutions |
CTRL Part 9.1 Preliminary |
| CTRL Part 9.2 Policies, procedures, systems and controls |
| CTRL Part 9.3 Shari’a supervisory boards |
| CTRL Part 9.4 Conduct of Islamic financial business |
| CTRL Schedule 1 Guidance — classification of risks |
| CTRL Glossary |
