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