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Financial Services Regulations Companies Regulations 2005 Anti Money Laundering Regulations Contract Regulations 2005 Insolvency Regulations 2005 Data Protection Regulations 2005 Article 1 – Definitions Article 2 – QFC — Location Article 3 – QFC Authority Article 4 – QFC Board Article 5 – Objectives of the QFC Authority Article 6 – Powers of the QFC Authority Article 7 – The QFC Companies Registration Office Article 8 – The Regulatory Authority, The Regulatory Tribunal and The Civil and Commercial Court Article 9 – Power to make regulations Article 10 – Permitted Activities within QFC Article 11 – Licensing of operations Article 12 – Statutory guarantees Article 13 – Revenue of the QFC Authority Article 14 – Treatment of Surpluses Article 15 – Accounting Requirements Article 16 – Liability of QFC Authority, The Regulatory Authority, The Regulatory Tribunal, The Civil and Commercial Court and QFC Institutions Article 17 – Taxation Article 18 – Interaction with other laws Article 19 – Miscellaneous SCHEDULE 1 – Board — Constitution and Powers, Chairman and Director General SCHEDULE 2 – Regulations SCHEDULE 3 – Permitted Activities SCHEDULE 4 – The Regulatory Authority SCHEDULE 5 – The Regulatory Tribunal QFCA QFCRA Principles Rulebook (PRIN) [Repealed as of January 1, 2015] Controls Rulebook (CTRL) [Repealed as of 1 July 2013] Individuals Rules 2005 (INDI) [Repealed as of 1 January 2015] Islamic Finance Rules 2005 (ISFI) Investment and Banking Business Rules 2005 (PIIB) [Repealed as of January 1, 2015] QFCA Consultation Papers Data Protection Rules (DATA) Interpretation and Application Rules 2005 (INAP) QFCRA Consultation Papers Assets Rules 2005 (ASET) [Repealed as of January 1, 2015] General Rules 2005 (GENE) Limited Liability Partnerships Regulations 2005 Arbitration Regulations 2005 Companies Rules (COMP) QFCRA QFCA Application Forms General Forms Data Protection Forms Prudential Returns QFC Authority Regulations Employment Regulations 2006 Insurance Business Rules 2006 (PINS) Immigration Regulations 2007 QFCA QFCRA Trust Regulations 2007 QFCA Rules QFCRA/QFCA Conduct of Business Rules 2007 (COND) [Repealed as of December 31, 2019] Collective Investment Funds Rulebook (COLL) [Repealed as of January 1, 2011] Interpretation and Application Rulebook (INAP) Archive Assets Rulebook (ASET) Archive Controls Rulebook (CTRL) Archive General Rulebook (GENE) Archive Individuals Rulebook (INDI) Archive Islamic Finance Rulebook (ISFI) Archive Conduct of Business Rulebook (COND) Archive Interim Prudential - Investment, Insurance Mediation & Banking Business Rulebook (PIIB) Archive Insurance Rulebook (PINS) Archive Employment Regulations Partnership Regulations 2007 2008 Anti Money Laundering Rulebook (AMLR) Archive Collective Investments Funds Rulebook (COLL) Archive (pre-2010) Companies Regulations 2008 Application Forms Archive General Forms Archive Data Protection Forms Archive Prudential Returns Archive SCHEDULE 6 – The Civil and Commercial Court Anti-Money Laundering and Combating Terrorist Financing Rules 2010 (AML/CFTR) [DO NOT USE] AMLR HTML Archived AML/CFT Forms QFC Tax Regulations Anti-Money Laundering and Combating Terrorist Financing Rules 2010 (AML/CFTR) Archive Collective Investment Schemes Rules 2010 (COLL) Private Placement Schemes Rules 2010 (PRIV) 2010 Financial Services Regulations Captive Insurance Business Rules 2011 (CAPI) Insurance Mediation Business Rules 2011 (IMEB) Collective Investment Schemes Rules 2010 (COLL) Archive Tax Rules 2011 Limited Liability Partnerships Rules Security Regulations Limited Liability Partnerships Regulations 2005 Companies Rules (COMP) 2012 Single Family Office Regulations Special Company Regulations Rules Content by Topic Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Rules 2012 (AMLG) [DO NOT USE] AML/CFT Forms Governance and Controlled Functions Rules 2012 (CTRL) Captive Insurance Business Rules 2011 (CAPI) Archive Private Placement Schemes Rules 2010 (PRIV) Archive Insolvency Rules Single Family Office Rules Special Company Rules Special Company Regulations Single Family Office Regulations Insolvency Regulations 2005 Banking Business Prudential Rules 2014 (BANK) Investment Management and Advisory Rules 2014 (INMA) Individuals (Assessment, Training and Competency) Rules 2014 (INDI) Insurance Mediation Business Rules 2011 (IMEB) Archive Principles Rulebook (PRIN) Archive Governance and Controlled Functions Rules 2012 (CTRL) Archive Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Rules 2012 (AMLG) Archive Banking Business Prudential Rules 2014 (BANK) Archive Investment Management and Advisory Rules 2014 (INMA) Archive Tax Forms Archive Tax Regulations Companies Regulations Islamic Banking Business Prudential Rules 2015 (IBANK) Individuals (Assessment, Training and Competency) Rules 2014 (INDI) Archive Immigration Regulations Foundation Regulations 2016 Foundation Rules Investment Clubs Regulations 2016 Investment Clubs Rules Islamic Banking Business Prudential Rules 2015 (IBANK) Archive Insolvency Rules QFC Tax Regulations Tax Rules 2005 2007 Netting Regulations 2017 Customer Dispute Resolution Scheme Rules 2019 (CDRS) Customer and Investor Protection Rules 2019 (CIPR) Tax Regulations Tax Forms QFCA Rules Anti-Money Laundering and Combating the Financing of Terrorism Rules 2019 (AML/CFTR) Anti-Money Laundering and Combating the Financing of Terrorism (General Insurance) Rules 2019 (AMLG) Trust Regulations CTRL Part 1.2 Key concepts CTRL 1.2.1 What is a firm’s governing body? CTRL 1.2.1 Guidance CTRL 1.2.2 What is a firm’s corporate governance framework? CTRL 1.2.2 Guidance Customer and Investor Protection Rules 2019 (CIPR) Archive Anti-Money Laundering and Combating the Financing of Terrorism Rules 2019 (AML/CFTR) Archive Representative Office Rules 2020 (REPO) REPO Chapter 1 General provisions REPO Chapter 2 Conduct REPO Part 2.1 Core principles REPO Part 2.2 Conduct generally REPO Chapter 5 Application of other Rules REPO Chapter 3 Administration REPO Chapter 4 AML/CFT REPO 1.1.1 Name of rules REPO 1.1.5 Operating representative office to be regulated activity REPO 1.1.3 Purpose of these rules REPO 1.1.2 Commencement REPO 1.1.4 Effect of definitions, notes and examples REPO 4.1.1 AML/CFT policy REPO 4.1.2 AML/CFT training programme REPO 4.1.3 Reporting records to be made by MLRO REPO 4.1.4 Annual reports to Regulatory Authority REPO 4.1.5 How long AML/CFT records must be kept REPO 3.1.1 Eligibility to apply for authorisation REPO 3.1.2 Material to be supplied with application REPO 3.1.3 Senior executive function REPO 3.1.5 Representative offices not to hold money etc REPO 3.1.6 Employment to be exclusive REPO 3.1.8 Information supplied to other regulators REPO 3.1.2 Guidance REPO 3.1.7 Office not to be shared REPO 3.1.9 Records to include marketing material REPO 3.1.8 Guidance REPO 3.1.4 MLRO function REPO 5.1.1 Disapplication of certain other provisions of Rules REPO 2.1.1 Principle 1 — Integrity REPO 2.1.3 Principle 3 — Resources REPO 2.1.2 Principle 2 — Due skill, care and diligence REPO 2.1.4 Principle 4 — Relations with regulators REPO Glossary REPO 2.2.1 Representative office not to misrepresent status REPO 2.2.2 Disclosures of status required on certain business documents REPO 2.2.3 Products or services that may not be marketed etc REPO 2.2.4 Marketing material REPO 2.2.5 No advertising of particular products or particular services REPO 2.2.6 Representation to be exclusive REPO 2.2.7 No seeking to avoid liability
