‹ LLP A2.1.1 Part 1: Application, Interpretation and Definitions › QFCA Rules QFCA Rules Part 1:Application, Interpretation and Definitions 1. Application 2. Interpretation 3. Definitions 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 8 Controllers General Rule 8A Ultimate Beneficial Ownership 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 Part 3:Conduct of Business Rules (COB) COB Rule 1. Application COB Rule 2. General Conduct of Business COB Rule 3. Communication of Information and Marketing Materials COB Rule 4. Conflicts and Material Interests COB Rule 5. Complaints Handling Part 4:Licensed Firm Assets Rules (LFAR) LFAR Rule 1. Application LFAR Rule 2. Objectives LFAR Rule 3. General Provisions LFAR Rule 4. Client Money LFAR Rule 5. Client Money Distribution Rules Part 5:Compliance and Enforcement Rules (CER) CER Rule 1. Application CER Rule 2. Administration CER Rule 3. Investigations CER Rule 4. Disciplinary Powers CER Rule 5. Enforcement Procedure CER Rule 6. Contraventions Part 6:Legal Services Code 1. Application 2. General 3. Integrity and Trust 4. Client Care 5. Competence 6. Client Money and Assets 7. Conflicts of Interest 8. Confidentiality and Disclosure 9. Compliance, Co-operation and Information Requirements. 10. Courts, Tribunals and Evidence Part 7:QFC Professional Accountants' Code 1. Application 2. General Obligations 3. Ethical Obligations 4. Accounting Standards 5. Client Care 6. Competence 7. Anti-money Laundering 8. Compliance, Co-Operation and Information Requirements ‹ LLP A2.1.1 Part 1: Application, Interpretation and Definitions ›
