Rulemaking Instruments

QFCRA

2012

QFCRA RM/2012-1 Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Rules 2012
Please click here to view Word Version of RM/2012-1.
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QFCRA RM/2012-2 Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Consequential and Miscellaneous Amendments Rules 2012
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QFCRA RM/2012-3 Islamic Finance Amendments Rules 2012
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QFCRA RM/2012-4 Governance and Controlled Functions Rules 2012
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QFCRA RM/2012-5 Governance and Controlled Functions (Consequential and Miscellaneous) Amendments Rules 2012
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2011

QFCRA RM/2011-1 Captive Insurance Business Rules 2011
Please click here to view Word Version of RM/2011-1.
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QFCRA RM/2011-2 Captive Insurance Business (Consequential Amendments) Rules 2011
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QFCRA RM/2011-3 Insurance Mediation Business Rules 2011
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QFCRA RM/2011-4 Insurance Mediation Business (Consequential Amendments) Rules 2011
Please click here to view Word Version of RM/2011-4.
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QFCRA RM/2011-5 Training, Competency and Miscellaneous Amendments Rules 2011
Please click here to view Word Version of RM/2011-5.
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2010

QFCRA RM/2010-01 Miscellaneous Amendments Rules 2010-01
Please click here to view Word Version of RM/2010-01.
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QFCRA RM/2010-02 Anti-Money Laundering and Combating Terrorist Financing Rules 2010
Please click here to view Word Version of RM/2010-02.
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QFCRA RM/2010-03 Anti-Money Laundering (Repeal and Amendment) Rules 2010
Please click here to view Word Version of RM/2010-03.
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QFCRA RM/2010-04 Miscellaneous Amendments Rules 2010 (No 2)
Please click here to view Word Version of RM/2010-04.
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QFCRA RM/2010-05 Collective Investment Schemes Rules 2010
Please click here to view Word Version of RM/2010-05.
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QFCRA RM/2010-06 Private Placement Schemes Rules 2010
Please click here to view Word Version of RM/2010-06.
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QFCRA RM/2010-07 Asset Management (Repeal and Amendment) Rules 2010
Please click here to view Word Version of RM/2010-07.
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2009

QFCRA RM/2009-01 Interim Prudential — Investment, Insurance, Mediation and Banking Amendment Rules 2009
Please click here to view Word Version of RM/2009-01.
Please click here to view PDF Version of RM/2009-01.

QFCRA RM/2009-02 Miscellaneous Amendments Rules 2009
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2008

QFCRA RM/2008-01 Rulebooks (Miscellaneous Amendments) Rules 2008

The Board of the Qatar Financial Centre Regulatory Authority makes the following rules, and gives the following guidance, under the Financial Services Regulations.

Dated 30 March 2008.

1 Name of rules

These rules are the Rulebooks (Miscellaneous Amendments) Rules 2008.

2 Commencement

These rules commence on 7 April 2008.

3 Anti Money Laundering Rulebook

(1) The Anti Money Laundering Rulebook (AMLR) is amended in accordance with schedule 1, part 1.1 and schedule 2, part 2.1.

(2) The version of AMLR as so amended may be referred to as AMLR-VER2-Feb08.

4 Assets Rulebook

(1) The Assets Rulebook (ASET) is amended in accordance with schedule 2, part 2.2.

(2) The version of ASET as so amended may be referred to as ASET-VER4-Feb08.

5 Collective Investment Funds Rulebook

(1) The Collective Investment Funds Rulebook (COLL) is amended in accordance with schedule 1, part 1.2 and schedule 2, part 2.3.

(2) The version of COLL as so amended may be referred to as COLL-VER2-Feb08.

6 Conduct of Business Rulebook

(1) The Conduct of Business Rulebook (COND) is amended in accordance with schedule 1, part 1.3 and schedule 2, part 2.4.

(2) The version of COND as so amended may be referred to as COND-VER2-Feb08.

7 Controls Rulebook

(1) The Controls Rulebook (CTRL) is amended in accordance with schedule 2, part 2.5.

(2) The version of CTRL as so amended may be referred to as CTRL-VER4-Feb08.

8 General Rulebook

(1) The General Rulebook (GENE) is amended in accordance with schedule 1, part 1.4 and schedule 2, part 2.6.
(2) The version of GENE as so amended may be referred to as GENE-VER5-Feb08.
9 Individuals Rulebook

(1) The Individuals Rulebook (INDI) is amended in accordance with schedule 2, part 2.7.

(2) The version of INDI as so amended may be referred to as INDI-VER4-Feb08.

10 Interpretation and Application Rulebook

(1) The Interpretation and Application Rulebook (INAP) is amended in accordance with schedule 1, part 1.5 and schedule 2, part 2.8.

(2) The version of INAP as so amended may be referred to as INAP-VER5-Feb08.

11 Interim Prudential — Investment, Insurance Mediation and Banking Business Rulebook

(1) The Interim Prudential — Investment, Insurance Mediation and Banking Business Rulebook (PIIB) is amended in accordance with schedule 2, part 2.9.

(2) The version of PIIB as so amended may be referred to as PIIB-VER3-Feb08.

12 Prudential — Insurance Rulebook

(1) The Prudential — Insurance Rulebook (PINS) is amended in accordance with schedule 2, part 2.10.

(2) The version of PINS as so amended may be referred to as PINS-VER3-Feb08.

13 Explanatory notes

An explanatory note included in these rules is not part of these rules.

Click here to view the PDF version of amendments to AMLR.
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Click here to view the PDF version of amendments to ASET.
Click here to view the Word version of amendments to ASET.

Click here to view the PDF version of amendments to COLL.
Click here to view the Word version of amendments to COLL.

Click here to view the PDF version of amendments to COND.
Click here to view the Word version of amendments to COND.

Click here to view the PDF version of amendments to CTRL.
Click here to view the Word version of amendments to CTRL.

Click here to view the PDF version of amendments to GENE.
Click here to view the Word version of amendments to GENE.

Click here to view the PDF version of amendments to INAP.
Click here to view the Word version of amendments to INAP.

Click here to view the PDF version of amendments to INDI.
Click here to view the Word version of amendments to INDI.

Click here to view the PDF version of amendments to PIIB.
Click here to view the Word version of amendments to PIIB.

Click here to view the PDF version of amendments to PINS.
Click here to view the Word version of amendments to PINS.

QFCRA RMI/2008-2 Rulebooks (Miscellaneous Amendments) Rules 2008 (No 2)
The Board of the Qatar Financial Centre Regulatory Authority makes the following rules, and gives the following guidance, under the Financial Services Regulations.

Dated 21 September 2008.

Phillip Thorpe
Chairman

1 Name of rules

These rules are the Rulebooks (Miscellaneous Amendments) Rules 2008 (No 2).

2 Commencement

These rules commence on 1 October 2008.

3 Anti Money Laundering Rulebook

(1) The Anti Money Laundering Rulebook (AMLR) is amended in accordance with schedule 2, part 2.1.

(2) The version of AMLR as so amended may be referred to as AMLR-VER3-Oct08.

4 Assets Rulebook

(1) The Assets Rulebook (ASET) is amended in accordance with schedule 1, part 1.1.

(2) The version of ASET as so amended may be referred to as ASET-VER5-Oct08.

5 Conduct of Business Rulebook

(1) The Conduct of Business Rulebook (COND) is amended in accordance with schedule 1, part 1.2 and schedule 2, part 2.2.

(2) The version of COND as so amended may be referred to as COND-VER3-Oct08.

6 General Rulebook

(1) The General Rulebook (GENE) is amended in accordance with schedule 1, part 1.3 and schedule 2, part 2.3.

(2) The version of GENE as so amended may be referred to as GENE-VER6-Oct08.

7 Interim Prudential-Investment, Insurance Mediation and Banking Business Rulebook

(1) The Interim Prudential-Investment, Insurance Mediation and Banking Business Rulebook (PIIB) is amended in accordance with schedule 1, part 1.4 and schedule 2, part 2.4.

(2) The version of PIIB as so amended may be referred to as PIIB-VER4-Oct08.

8 Interpretation and Application Rulebook

(1) The Interpretation and Application Rulebook (INAP) is amended in accordance with schedule 1, part 1.5 and schedule 2, part 2.5.

(2) The version of INAP as so amended may be referred to as INAP-VER6-Oct08.

9 Prudential-Insurance Rulebook

(1) The Prudential-Insurance Rulebook (PINS) is amended in accordance with schedule 1, part 1.6.

(2) The version of PINS as so amended may be referred to as PINS-VER4-Oct08.

10 Explanatory notes

An explanatory note included in these rules is not part of these rules.

Please click here to view the Word Version of QFCRA RMI 2008-2 in full.

2007

QFCRA RM/2007-01 – Conduct of Business Rulebook
The Board of the Qatar Financial Center Regulatory Authority makes the following rules, and gives the following guidance, under Article 15 of the Financial Services Regulations.

Dated 28 June 2007.

PHILLIP THORPE
Chairman

Conduct of Business Rulebook
Rule Making Instrument 2007

QFCRA RM/2007-01

made under Article 15 of the Financial Services Regulations

1 Name of instrument

This instrument is the Conduct of Business Rulebook Rule Making Instrument 2007.

2 Commencement

This instrument commences on 1 July 2007.

3 Conduct of Business Rulebook

(1) The Conduct of Business Rulebook is set out in attachment A.

(2) The version of the rulebook set out in attachment A may be referred to as COND-VER1-July07.

4 Amendments of Assets Rulebook

(1) The Assets Rulebook (ASET) is amended in accordance with attachment B.

(2) The version of ASET as so amended may be referred to as ASET-VER2-June07.

5 Amendments of Controls Rulebook

(1) The Controls Rulebook (CTRL) is amended in accordance with attachment C.

(2) The version of CTRL as so amended may be referred to as CTRL-VER3-July07.

6 Amendments of General Rulebook

(1) The General Rulebook (GENE) is amended in accordance with attachment D.

(2) The version of GENE as so amended may be referred to as GENE-VER2-June07.

7 Amendment of Individuals Rulebook

(1) The Individuals Rulebook (INDI) is amended in accordance with attachment E.

(2) The version of INDI as so amended may be referred to as INDI-VER3-July07.

8 Amendments of Interpretation and Application Rulebook

(1) The Interpretation and Application Rulebook (INAP) is amended in accordance with attachment F.

(2) The version of INAP as so amended may be referred to as INAP-VER3-June07.

9 Amendment of Islamic Finance Rulebook

(1) The Islamic Finance Rulebook (ISFI) is amended in accordance with attachment G.

(2) The version of ISFI as so amended may be referred to as ISFI-VER2-July07.

10 Amendments of Prudential — Insurance Rulebook

(1) The Prudential — Insurance Rulebook (PINS) is amended in accordance with attachment H.

(2) The version of PINS as so amended may be referred to as PINS-VER2-July07.

11 Repeal of existing Conduct of Business Rulebook

The Conduct of Business Rulebook (COND) (also referred to as COND-VER1-Nov 05) is repealed.

Click here to view Attachment A, COND Rulebook.

Click here to view Attachment B, Amendments to ASET.

Click here to view Attachment C, Amendments to CTRL.

Click here to view Attachment D, Amendments to GENE.

Click here to view Attachment E, Amendments to INDI.

Click here to view Attachment F, Amendments to INAP.

Click here to view Attachment G, Amendments to ISFI.

Click here to view Attachment H, Amendments to PINS.

QFCRA RM/2007-02 – Collective Investment Funds Rulebook
The Board of the Qatar Financial Center Regulatory Authority makes the following rules, and gives the following guidance, under Article 15 of the Financial Services Regulations.

Dated 28 June 2007.

PHILLIP THORPE
Chairman

Collective Investment Funds Rulebook
Rule Making Instrument 2007

QFCRA RM/2007–02

made under Article 15 of the Financial Services Regulations

1 Name of instrument

This instrument is the Collective Investment Funds Rulebook Rule Making Instrument 2007.

2 Commencement

This instrument commences on 15 July 2007.

3 Collective Investment Funds Rulebook

(1) The Collective Investment Funds Rulebook is set out in attachment A.

(2) The version of the rulebook set out in attachment A may be referred to as COLL-VER1-July07.

4 Amendment of Assets Rulebook

(1) The Assets Rulebook (ASET) is amended in accordance with attachment B.

(2) The version of ASET as so amended may be referred to as ASET-VER3-July07.

5 Amendment of General Rulebook

(1) The General Rulebook (GENE) is amended in accordance with attachment C.

(2) The version of GENE as so amended may be referred to as GENE-VER3-July07.

6 Amendments of Interim Prudential—Investment, Insurance Mediation and Banking Rulebook

(1) The Interim Prudential—Investment, Insurance Mediation and Banking Business Rulebook (PIIB) is amended in accordance with attachment D.

(2) The version of PIIB as so amended may be referred to as PIIB-VER2–July07.

7 Amendments of Interpretation and Application Rulebook

(1) The Interpretation and Application Rulebook (INAP) is amended in accordance with attachment E.

(2) The version of INAP as so amended may be referred to as INAP–VER4–July07.

Click here to view Attachment A, COLL Rulebook.

Click here to view Attachment B, Amendments to ASET.

Click here to view Attachment C, Amendments to GENE.

Click here to view Attachment D, Amendments to PIIB.

Click here to view Attachment E, Amendments to INAP.

QFCRA RM/2007-03 – General (Fees) Amendment Rules 2007
The Board of the Qatar Financial Centre Regulatory Authority makes the following rules under the Financial Services Regulations.

Dated 5 September 2007.

PHILLIP THORPE
Chairman

General (Fees) Amendment Rules 2007
QFCRA RM/2007–03

made under the

Financial Services Regulations

1 Name of rules

These rules are the General (Fees) Amendment Rules 2007.

2 Commencement

These rules commence on 1 October 2007.

3 Amendment of General Rulebook

(1) The General Rulebook (GENE) is amended in accordance with attachment A.

(2) The version of GENE as so amended may be referred to as GENE-VER4-Oct 07.

Click here to view Attachment A, Amendments to GENE.

2006

QFCRA RM01/2006 – Prudential – Insurance Rulebook
The Board of the Qatar Financial Centre Regulatory Authority, in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby makes the rules and issues the guidances set in the Annexes to this instrument.

Commencement

(1) This instrument shall come into force on 1 October 2006.

Citation

(2) This instrument may be cited as the Prudential – Insurance Rulebook Rule Making Instrument No. 2006/01.

Prudential – Insurance Rulebook

(3) Annex A to this instrument may be cited as the Prudential – Insurance Rulebook, or PINS.

(4) The version of the rulebook in Annex A to this instrument may be identified by the following reference: PINS-VER1-Sep06.

Amendments to other Rulebooks

(5) The Controls Rulebook (CTRL) referred to as CTRL-VER1-Oct05 is amended in accordance with Annex B to this instrument and the Rulebook as amended by this instrument may be identified by the following reference: CTRL-VER2-Sep06.

(6) The Individuals Rulebook (INDI) referred to as INDI-VER1-Oct05 is amended in accordance with Annex C to this instrument and the Rulebook as amended by this instrument may be identified by the following reference: INDI-VER2-Sep06.

(7) The Interpretation and Application Rulebook (INAP) referred to as INAP-VER1-Oct05 is amended in accordance with Annex D to this instrument and the Rulebook as amended by this instrument may be identified by the following reference: INAP-VER2-Sep06.

Made and issued on 5th September 2006 by the Board of the Qatar Financial Centre Regulatory Authority.

Phillip Thorpe
Chairman

Click here to download Annex A in PDF Format

Click here to download Annex B in PDF Format

Click here to download Annex C in PDF Format

Click here to download Annex D in PDF Format

2005

QFCRA RM01/2005 – Principles Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Principles Rulebook Rule Making Instrument No. 1, 2005.

(3) The Annex to this instrument may be cited as the Principles Rulebook or PRIN.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: PRIN-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM02/2005 – Controls Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Controls Rulebook Rule Making Instrument No. 2, 2005.

(3) The Annex to this instrument may be cited as the Controls Rulebook or CTRL.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: CTRL-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM03/2005 – Individuals Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Individuals Rulebook Rule Making Instrument No. 3, 2005.

(3) The Annex to this instrument may be cited as the Individuals Rulebook or INDI.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: INDI-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM04/2005 – Anti Money Laundering Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Anti Money Laundering Rulebook Rule Making Instrument No. 4, 2005.

(3) The Annex to this instrument may be cited as the Anti Money Laundering Rulebook or AMLR.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: AMLR-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM05/2005 – Islamic Finance Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Islamic Finance Rulebook Rule Making Instrument No. 5, 2005.

(3) The Annex to this instrument may be cited as the Islamic Finance Rulebook or ISFI.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: ISFI-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM06/2005 – Interim Prudential – Investment, Insurance Mediation and Banking Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Interim Prudential - Investment, Insurance Mediation and Banking Rulebook Rule Making Instrument No. 6, 2005.

(3) The Annex to this instrument may be cited as the Interim Prudential - Investment, Insurance Mediation and Banking Rulebook or PIIB.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: PIIB-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM07/2005 – Interpretation and Application Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 13 October 2005.

Citation

(2) This instrument may be cited as the Interpretation and Application Rulebook Rule Making Instrument No. 7, 2005.

(3) The Annex to this instrument may be cited as the Interpretation and Application Rulebook or INAP.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: INAP-VER1-Oct05

Issued on 13th October 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM08/2005 – General Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 5 December 2005.

Citation

(2) This instrument may be cited as the General Rulebook Rule Making Instrument No. 8, 2005.

(3) The Annex to this instrument may be cited as General Rulebook or GENE.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: GENE-VER1-Nov05

Issued on 5 December 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM09/2005 – Conduct of Business Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 5 December 2005.

Citation

(2) This instrument may be cited as the Conduct of Business Rulebook Rule Making Instrument No. 9, 2005.

(3) The Annex to this instrument may be cited as the Conduct of Business Rulebook or COND.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: COND-VER1-Nov05

Issued on 5 December 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCRA RM10/2005 – Assets Rulebook
The Regulatory Authority in the exercise of the powers conferred on it by Article 15 of the Financial Services Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 5 December 2005.

Citation

(2) This instrument may be cited as the Assets Rulebook Rule Making Instrument No. 10, 2005.

(3) The Annex to this instrument may be cited as the Assets Rulebook or ASET.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: ASET-VER1-Nov05

Issued on 5 December 2005 by the QFC Regulatory Authority at the Qatar Financial Centre, Doha, State of Qatar

Phillip Thorpe
Chairman

QFCA

QFCA RM2012-1 – Approval of the Amendments
Click here to view PDF Version of RM2012-1.
Click here to view Word Version of RM2012-1.

QFCA RM2011-2 – Limited Liability Partnerships Rules
Click here to view Word Version of Limited Liability Partnerships Rules.

QFC Rules 2011-1 – QFCA Rules (Miscellaneous Amendments) Rules 2011
Click here to view PDF Version of QFCA Rules (Miscellaneous Amendments) Rules 2011.
Click here to view Word Version of QFCA Rules (Miscellaneous Amendments) Rules 2011.

QFCA RM01/2005 – Data Protection Rules
The QFC Authority in the exercise of the powers conferred on it by Article 21 of the Data Protection Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 17 October 2005.

Citation

(2) This instrument may be cited as the Data Protection Rules - Rule Making Instrument No. 1, 2005.

(3) The Annex to this instrument may be cited as the Data Protection Rules or DATA.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: DATA-VER1-Oct05

Issued on 17th October 2005 by the QFC Authority at the Qatar Financial Centre, Doha, State of Qatar

Mohamed bin Ahmed bin Jassim Al Thani
Minister of Economy and Commerce of the State of Qatar

QFCA RM02/2005 – Companies Rules
The QFC Authority in the exercise of the powers conferred on it by Article 8 of the Companies Regulations, hereby make the rules and issue the guidance in the Annex to this instrument.

Commencement

(1) This instrument shall come into force on 22 November 2005.

Citation

(2) This instrument may be cited as the Companies Rules - Rule Making Instrument No. 2, 2005.

(3) The Annex to this instrument may be cited as the Companies Rules or COMP.

(4) This version of rulebook in the Annex to this instrument may be identified by the following reference: COMP-VER1-Nov05

Issued on 22 November 2005 by the QFC Authority at the Qatar Financial Centre, Doha, State of Qatar

Mohamed bin Ahmed bin Jassim Al Thani
Minister of Economy and Commerce of the State of Qatar

Approval of QFCA Rules
Action: The Qatar Financial Centre Authority ("QFCRA") is approving and enacting the QFCA Rules.

Summary: Article 12 of the QFC Authority Regulations issued under the QFC Law, Law No. (7) of 2005 on the Law for the Qatar Financial Centre ("QFC Law") authorizes the QFCA to make rules to facilitate the pursuit, achievement and furtherance of its objectives or to aid it to implement, carry out or enforce its duties, functions and powers under the QFC Law and Regulations issued thereunder.

The QFCA Rules codify the processes applied in the QFCA licensing process and set forth the continuing compliance obligations of all QFCA licensed firms, and in some cases, the obligations of firms authorized by the QFC Regulatory Authority, under Regulations administered by the QFCA. The rules comprise five main parts: 1) Application and Definitions; 2) General Rules; 3) Conduct of Business Rules; 4) Licensed Firm Assets Rules; and 5) Compliance and Enforcement Rules ("CER"). For purposes of clarity, each rule identifies whether its scope is limited to QFCA licensed firms or whether that rule also applies to firms authorized by the QFC Regulatory Authority.

Consultation: The QFCA published the QFCA Rules on February 26, 2007 for a thirty day consultation period inviting comment from the international financial and legal community. Three sets of public comments were received from two QFCA Licensed Firms. The commenters noted the need for a consolidated set of definition of terms in the QFCA Rules, and raised questions concerning the impact of Part 5 of the QFCA Rules, CER.

After further consideration of the matter, the QFCA has amended the draft QFCA Rules to consolidate the definition of terms appearing in the QFCA Rules in Part 1, Application and Definitions, and to add additional definitions as requested by the commenters. To provide further clarity a section on the interpretation of terms appearing in the Rules also has been added to Part 1 and the Part is now designated as Application, Interpretation and Definitions. In respect of CER, the QFCA notes that the powers and procedures set forth therein are generally consistent with the comparable provisions set forth in the Financial Services Regulations in respect of the QFC Regulatory Authority. The QFCA sees no basis for applying materially different standards or procedures in this regard. A redlined version of the QFCA Rules identifying the major changes from the consultation version is attached to this Board action.

Recommendation: The QFCA has reviewed the attached Rules, has consulted with the QFC Regulatory Authority, and has determined that the QFCA Rules:

a. are necessary for the establishment and proper functioning of the QFC;

b. contain no matters that are reserved to the Qatar Council of Ministers on which their consent must first be obtained; and

c. are fit for purpose.

In consideration of the foregoing, the Board of the QFCA hereby approves the attached QFCA Rules which are hereby enacted.

For the QFCA Board on 15 May 2007 at the Qatar Financial Centre, Doha, State of Qatar by

Stuart Pearce, Director General and CEO

Rulemaking Instruments

QFCRA

2012

QFCRA RM/2012-1 Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Rules 2012

QFCRA RM/2012-2 Anti-Money Laundering and Combating Terrorist Financing (General Insurance) Consequential and Miscellaneous Amendments Rules 2012

QFCRA RM/2012-3 Islamic Finance Amendments Rules 2012

QFCRA RM/2012-4 Governance and Controlled Functions Rules 2012

QFCRA RM/2012-5 Governance and Controlled Functions (Consequential and Miscellaneous) Amendments Rules 2012

2011

QFCRA RM/2011-1 Captive Insurance Business Rules 2011

QFCRA RM/2011-2 Captive Insurance Business (Consequential Amendments) Rules 2011

QFCRA RM/2011-3 Insurance Mediation Business Rules 2011

QFCRA RM/2011-4 Insurance Mediation Business (Consequential Amendments) Rules 2011

QFCRA RM/2011-5 Training, Competency and Miscellaneous Amendments Rules 2011

2010

QFCRA RM/2010-01 Miscellaneous Amendments Rules 2010-01

QFCRA RM/2010-02 Anti-Money Laundering and Combating Terrorist Financing Rules 2010

QFCRA RM/2010-03 Anti-Money Laundering (Repeal and Amendment) Rules 2010

QFCRA RM/2010-04 Miscellaneous Amendments Rules 2010 (No 2)

QFCRA RM/2010-05 Collective Investment Schemes Rules 2010

QFCRA RM/2010-06 Private Placement Schemes Rules 2010

QFCRA RM/2010-07 Asset Management (Repeal and Amendment) Rules 2010

2009

QFCRA RM/2009-01 Interim Prudential — Investment, Insurance, Mediation and Banking Amendment Rules 2009

QFCRA RM/2009-02 Miscellaneous Amendments Rules 2009

2008

QFCRA RM/2008-01 Rulebooks (Miscellaneous Amendments) Rules 2008

QFCRA RMI/2008-2 Rulebooks (Miscellaneous Amendments) Rules 2008 (No 2)

2007

QFCRA RM/2007-01 – Conduct of Business Rulebook

QFCRA RM/2007-02 – Collective Investment Funds Rulebook

QFCRA RM/2007-03 – General (Fees) Amendment Rules 2007

2006

QFCRA RM01/2006 – Prudential – Insurance Rulebook

2005

QFCRA RM01/2005 – Principles Rulebook

QFCRA RM02/2005 – Controls Rulebook

QFCRA RM03/2005 – Individuals Rulebook

QFCRA RM04/2005 – Anti Money Laundering Rulebook

QFCRA RM05/2005 – Islamic Finance Rulebook

QFCRA RM06/2005 – Interim Prudential – Investment, Insurance Mediation and Banking Rulebook

QFCRA RM07/2005 – Interpretation and Application Rulebook

QFCRA RM08/2005 – General Rulebook

QFCRA RM09/2005 – Conduct of Business Rulebook

QFCRA RM10/2005 – Assets Rulebook

QFCA

QFCA RM2012-1 – Approval of the Amendments

QFCA RM2011-2 – Limited Liability Partnerships Rules

QFC Rules 2011-1 – QFCA Rules (Miscellaneous Amendments) Rules 2011

QFCA RM01/2005 – Data Protection Rules

QFCA RM02/2005 – Companies Rules

Approval of QFCA Rules