Part 5: Compliance and Enforcement Rules (CER)
- CER Rule 1. Application
- CER Rule 2. Administration
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CER Rule 3. Investigations
- CER Rule 3.1 Powers to Obtain Documents and Information
- CER Rule 3.2 Reports
- CER Rule 3.3 Appointment of Investigators
- CER Rule 3.4 Investigations — Duties and Powers
- CER Rule 3.5 Admissibility
- CER Rule 3.6 The Role of the Relevant Review Body in Investigations
- CER Rule 3.7 Self Incrimination
- CER Rule 3.8 Protected Items
- CER Rule 3.9 Obstruction of the QFCA
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CER Rule 4. Disciplinary Powers
- CER Rule 4.1 Public Censure
- CER Rule 4.2 Financial Penalties
- CER Rule 4.3 Appointment of Managers
- CER Rule 4.4 Undertakings
- CER Rule 4.5 Prohibitions and Restrictions
- CER Rule 4.6 Injunctions
- CER Rule 4.7 Restitution Orders
- CER Rule 4.8 Civil Proceedings
- CER Rule 4.9 Appeals
- CER Rule 4.10 Power of QFCA to Intervene in any Proceedings
- CER Rule 4.11 Effect of Provisions
- CER Rule 4.12 Procedural Irregularities
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CER Rule 5. Enforcement Procedure
- CER Rule 5.1 Right to Make Written Representations
- CER Rule 5.2 Decision Notices
- CER Rule 5.3 Implementation of a Decision Notice
- CER Rule 5.4 Discontinuance of Proceedings
- CER Rule 5.5 Publishing Information
- CER Rule 5.6 Publication of Statements
- CER Rule 5.7 Access to QFCA Material
- CER Rule 5.8 Procedure in Relation to Decision Notices
- CER Rule 5.9 Policy in Relation to Penalties
- CER Rule 6. Contraventions