Governance and Controlled Functions Rules 2020 (CTRL)

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Governance and Controlled Functions Rules 2020 (CTRL)
CTRL Chapter 1:
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:
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