Key Details

Duration: 2 Days

Available: In-House only

Overview

On completion of this Examination, candidates will have a knowledge and understanding of the appropriate Qatar Financial Centre’s Regulations and the Qatar Financial Centre Regulatory Authority’s Rules as they may apply to an individual carrying on regulated activities and to Authorised Firms and such other rules and regulations about which...

On completion of this Examination, candidates will have a knowledge and understanding of the appropriate Qatar Financial Centre’s Regulations and the Qatar Financial Centre Regulatory Authority’s Rules as they may apply to an individual carrying on regulated activities and to Authorised Firms and such other rules and regulations about which appropriate firms and individuals should be aware.

Element 1 - QFC Law and Financial Services Regulations
1.1 QFC Financial Services Regulations (Law No. 7 of 2005, as amended)
1.2 QFCRA Powers of Investigation (Financial Services Regulations)

Element 2 - Companies, Partnerships and Trusts
2.1 Limited Liability Companies (Companies Regulations 2005)
2.2 Protected Cell Companies (Companies Regulations 2005)
2.3 Partnerships (Partnership Regulations 2007)
2.4 Trusts and trustees (Trust Regulations 2007)

Element 3 - Other QFC Regulations
3.1 Contract Regulations 2005
3.2 Insolvency Regulations 2005 (V2 – December 2013)
3.3 Employment Regulations (V5 – May 2016)

Element 4 - Industry Protection Rules and Regulations
4.1 Data Protection Regulations 2005
4.2 Market Abuse and Contraventions
4.3 Money Laundering (AML/CFTR)
4.4 Client Money (INMA Chapter 5)

Element 5 - Conduct of Business Rulebook (COND)
5.1 Clients, Customers and Market Counterparties
5.2 Authorised Firms’ Obligations
5.3 Financial Promotions
5.4 Conduct of Investment Business
5.5 Dealing and Managing
5.6 Conduct of non-Investment Insurance Mediation Business
5.7 Conduct of Insurance Business
5.8 Conduct of Deposit Taking Business
5.9 Customer Dispute Resolution Scheme

Element 6 - Other QFCRA Rulebooks
6.1 Collective Investment Schemes Rules 2010 (COLL) and Private Placement Schemes Rules (PRIV)
6.2 Governance and Controlled Functions Rules (CTRL)
6.3 General Rulebook (GENE)
6.4 Individuals (Assessment, Training & Competency) Rulebook (INDI)
6.5 Insurance Business Rulebook (CAPI)
6.6 Insurance Mediation Business Rules (IMEB)
6.7 Banking Business Prudential Rules 2014 (BANK)
6.8 Investment Management and Advisory Rules 2014 (INMA)