| Investment Management and Advisory Rules 2014 (INMA) |
INMA Chapter 1:
General |
INMA 1.1.1 Introduction |
| INMA 1.1.2 Commencement |
| INMA 1.1.3 Effect of definitions, notes and examples |
| INMA 1.1.4 Application of these rules — general |
| INMA 1.1.5 Interaction between these rules and IMEB |
| INMA 1.1.6 Application of these rules — branches |
| INMA 1.1.7 Requirement for policy also requires procedures and systems |
| INMA 1.1.8 Legal form that firms must take |
INMA Chapter 2:
Prudential reporting requirements |
INMA 2.1.1 Introduction |
| INMA 2.1.2 Preparing returns |
| INMA 2.1.3 Giving information |
| INMA 2.1.4 Accounts and statements to use international standards |
| INMA 2.1.5 Interaction between these rules and IMEB |
| INMA 2.1.6 Firm to notify authority |
| INMA 2.1.7 Branches — obligations to inform Regulatory Authority |
INMA Chapter 3:
General prudential requirements |
INMA Part 3.1 General |
| INMA Part 3.2 Financial resources — general principles |
| INMA Part 3.3 Minimum capital and liquid assets requirements |
INMA Chapter 4:
Management of risk |
INMA Part 4.1 Introduction — Chapter 4 |
| INMA Part 4.2 Risk management |
| INMA Part 4.3 Professional indemnity insurance |
INMA Chapter 5:
Client money |
INMA Part 5.1 Client money — introductory |
| INMA Part 5.2 Client money concepts |
| INMA Part 5.3 Money that is not client money |
| INMA Part 5.4 Receipt of client money by advisory firms |
| INMA Part 5.5 Client money protection rules |
| INMA Part 5.6 Disapplication of client money protection rules |
| INMA Part 5.7 Payments out of client bank accounts |
| INMA Part 5.8 Customer notifications about client money |
| INMA Part 5.9 Reconciliation of client money |
| INMA Part 5.10 Client money distribution rules |
INMA Chapter 6:
Providing custody services |
INMA 6.1.1 Application of Chapter 6 |
| INMA 6.1.2 Chapter 6 application to QFC schemes |
| INMA 6.1.3 Eligible custodian |
| INMA 6.1.4 Custody investment |
| INMA 6.1.5 Holding custody investments |
| INMA 6.1.6 Nominee |
| INMA 6.1.7 Investments not treated as custody investments — delivery-versus-payment transactions |
| INMA 6.1.8 Investments not treated as custody investments — investments held temporarily for customers |
| INMA 6.1.9 Responsibility for nominees |
| INMA 6.1.10 Systems and controls in relation to custody investments |
| INMA 6.1.11 Control of documents of title |
| INMA 6.1.12 Use of eligible custodians |
| INMA 6.1.13 Assessing whether an eligible custodian is suitable |
| INMA 6.1.14 Acknowledgement by eligible custodian |
| INMA 6.1.15 Use of customers' investments for firms' own purposes |
| INMA 6.1.16 Collateral for customers' investments used for stock lending |
| INMA 6.1.17 Notifying customers if investments to be held outside QFC |
| INMA 6.1.18 Notifying customers of terms of custody |
| INMA 6.1.19 No exclusion of liability for nominee's negligence or fraud |
| INMA 6.1.20 Periodic custody investment statements to customers |
| INMA 6.1.21 When periodic custody statements need not be sent to customer |
| INMA 6.1.22 Reconciliations to be carried out |
| INMA 6.1.23 Duties to be separated |
| INMA 6.1.24 Review of reconciliations |
| INMA 6.1.25 Correcting discrepancies in reconciliations |
| INMA 6.1.26 Notice to be given of certain significant discrepancies |
| INMA 6.1.27 Record-keeping |
INMA Chapter 7:
Use of customers' investments as collateral |
INMA 7.1.1 Application of Chapter 7 |
| INMA 7.1.2 Adequate records to be kept |
| INMA 7.1.3 Periodic statements to customer |
INMA Chapter 8:
Client mandates |
INMA 8.1.1 Client mandates — systems and controls |
| INMA 8.1.2 Chapter 8 application to QFC schemes |
INMA Chapter 9:
Islamic INMA firms |
INMA 9.1.1 Introduction |
| INMA 9.1.2 Profit-sharing investment accounts |
| INMA 9.1.3 Policies — PSIAs |
| INMA 9.1.4 PSIA managers' responsibilities |
| INMA 9.1.5 Terms of business |
| INMA 9.1.6 Financial statements — specific disclosures |
| INMA 9.1.7 Periodic statements |
| INMA 9.1.8 Displaced commercial risk |
INMA Chapter 10:
Transitional |
INMA 10.1.1 Definitions for Chapter 10 |
| INMA 10.1.2 Authorised firms to remain authorised |
| INMA 10.1.3 Modifications and waivers |
| INMA 10.1.4 Power of Regulatory Authority not diminished |
| INMA Schedule 1 Guidance about risk management |
INMA Part S1.1 Introduction |
| INMA Part S1.2 Risks to be addressed in risk management policy |
| INMA Part S1.3 Risks to be addressed in managing operational risk |
| INMA Part S1.4 Other risks that may be addressed in risk management policy |
| INMA Glossary |
