Part 2: General Rules
- General Rule 1. Application
- General Rule 2. Licence to Conduct Non-Regulated Activities
- General Rule 3. General Provisions
- General Rule 4. Notices to the QFCA
- General Rule 5. Reporting
- General Rule 6. Record Keeping
-
General Rule 7. Waivers and Modifications
- General Rule 7.1 Application
- General Rule 7.2 Application to Waive or Modify Rules
- General Rule 7.3 Procedure on Receipt of an Application
- General Rule 7.4 Conditions for Granting a Waiver or Modification
- General Rule 7.5 Applicability of a Waiver or Modification Notice
- General Rule 7.6 Continuing Relevance of a Written Notice
- General Rule 7.7 Publication of a Waiver or Modification Notice
- General Rule 7.8 Revocation or Variation of a Waiver or Modification Notice
- General Rule 7.9 Referral of the QFCA's Decisions in Relation to a Waiver or Modification Notice
- General Rule 8. Controllers
-
General Rule 8A. Ultimate Beneficial Ownership
- General Rule 8A.1 Definitions
- General Rule 8A.2 Requirement to Determine Beneficial Owners
- General Rule 8A.3 Definition of Beneficial Owner
- General Rule 8A.4 Obligation to Maintain a Register of Beneficial Owners
- General Rule 8A.5 Notification of the QFCA
- General Rule 8A.6 Required Information
- General Rule 8A.7 Nominee Directors and Nominee Shareholders
- General Rule 8A.8 Accuracy of Nominee Particulars
- General Rule 8A.9 Obligation to Provide Information to the CRO
- General Rule 8A.10 Accuracy of Required Information
- General Rule 8A.11 Confidentiality and Security of Beneficial Owner Information and Nominee Particulars
- General Rule 8A.12 The QFCA may Obtain Documents and Information in Relation to Beneficial Owners, Nominee Directors and Nominee Shareholders
- General Rule 8A.13 Right to Disclose Information Relating to Beneficial Owners, Nominee Directors or Nominee Shareholders by the QFCA
- General Rule 8A.14 Contraventions
- General Rule 8A.15 Exemptions
- General Rule 8A.16 Issuance of Guidance on Beneficial Owner Information and Nominee Particulars by the QFCA
- General Rule 8A.17 Record Keeping
- General Rule 9. Accounting and Auditing
- General Rule 10. Fees
- General Rule 11. Registered Functions
- General Rule 12. Notification of Registered Functions
- General Rule 13. Fitness and Propriety
- General Rule 14. Competence, Training and Supervision
- General Rule 15. Performance of Registered Functions
- General Rule 16. Professional Services
- Schedule 1 — Principles
- Schedule 2 — Reporting Table
- Schedule 3 — Record Keeping Requirements
- Schedule 4 — Fees
- Schedule 5 — Licensing Criteria