Element 1 - The Financial Free Zone
1.1 The Financial Free Zone
 
Element 2 -  General
2.1 Financial Services Activities
2.2 Activity by way of business
2.3 The Principles for Authorised Firms
2.4 The Principles for Authorised Individuals
2.5 General Provisions
2.6 Complaints handling and Dispute Resolution
2.7 Transition Rules
 
Element 3 -  Authorisation
3.1 License Application
3.2 Application to Change the Scope of a Licence or Withdrawal
3.3 Authorised Individuals
3.4 Licensed Firms
3.5 Competence
3.6 Controllers
 
Element 4 -  Conduct of Business
4.1 Client Classification
4.2 Conduct of Investment Business
4.3 Dealing
4.4 Documentation
4.5 Client Assets
4.6 Client Money
4.7 Client Investments
4.8 Communication of Information (Insurance)
4.9 Alternative Trading System (ATS) Operator
4.10 Insurance
 
Element 5 -  Supervision
5.1 Information Gathering
5.2 Waiver of a Provision of a Rule
5.3 Requirement to Provide a Report
5.4 Imposing Restrictions
5.5 Notifications
5.6 Reporting
 
Element 6 - Enforcement
6.1 Information Gathering and Investigation Powers
 
Element 7 - Ancillary Service Providers
7.1 Ancillary Services
7.2 Disclosure of Regulatory Status
7.3 Variation or Withdrawalof Registration
 
Element 8 -  Anti-Money Laundering
8.1 Money Laundering Reporting Officer
8.2 Customer Identification
8.3 Reporting Requirements
8.4 Money Laundering Risks
8.5 Transfer of Funds
8.6 Awareness and Training
 
Element 9 - Islamic Financial Business
9.1 Disclosure Requirements
9.2 Shari'a Supervisory Board
9.3 Shari'a Reviews
9.4 Conduct of Islamic Financial Business
 
Element 10 - Offered Securities
10.1 Offers
10.2 Exempt Offers
10.3 Prospectus Offers
 
Element 11 - Prevention of Market Misconduct
11.1 Market Misconduct
11.2 Insider Dealing
 
Element 12: Collective Investment Rules
12.1 Application and Constitution
12.2 Operation and Administration of the Fund
12.3 Delegation and Outsourcing
12.4 Accounting Standards
12.5 Periodic Reports
12.6 Charges and Expenses
12.7 Responsibility for the Prospectus
12.8 Auditors
12.9 Specialist Funds
12.10 Public Funds
12.11 Oversight Arrangements
12.12 Private Funds
12.13 Suspension and Termination
12.14 Marketing and Transactions Involving Funds