Qatar Financial Centre Rules and Regulations Exam

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CISI – Qatar Financial Centre Rules and Regulations Quiz 5 is Covered –
Element 4
Industry Protection Rules and Regulations:
Data Protection Regulations 2005 – ( 01 )
Data Protection Regulations 2005 – know the requirements relating to the protection of information obtained from, or concerning, a Data Subject

Market Abuse and Contraventions – (2-13)
Market Abuse and Contraventions – understand the regulations relating to the behaviour by a Person, which may be construed as being abusive conduct in respect of an investment or a transaction in an investment.
Market Abuse and Contraventions – understand the regulations that would apply to a Person who contravenes a Relevant Requirement

Money Laundering (AML/CFTR) – (14 – 25)
Money Laundering (AML/CFTR) – know the Key AML/CFT Principles
Money Laundering (AML/CFTR) – know the definition of ‘Money Laundering’ and ‘Customer’
Money Laundering (AML/CFTR) – understand the general requirements to develop AML/CFT programmes and policies
Money Laundering (AML/CFTR) – know how the rules apply to: (Rules 2.1.5 to 2.1.7) • Officers • Employees • Agents • Branches • Associates • Outsourced functions and activities
Money Laundering (AML/CFTR) – know the risk mitigation and assessment requirements of firms
Money Laundering (AML/CFTR) – know the duties and responsibilities of a firm in respect of the ‘know your customer’ requirements
Money Laundering (AML/CFTR) – understand the requirements of the rules regarding customer due diligence (CDD) measures
Money Laundering (AML/CFTR) – know the requirements for on-going, enhanced and reduced CDD
Money Laundering (AML/CFTR) – know the requirements of the rules regarding customer identification
Money Laundering (AML/CFTR) – know the reporting requirements of a firm, including: • Unusual transactions (Rule 5.1.1) • Internal reporting (Rules 5.1.2, 5.1.3 & 5.1.4) • External reporting (Rules 5.1.6 & 5.1.7) • Tipping off (Rules 5.2.1 to 5.2.3)

Client Money (INMA Chapter 5) – (26-30)
Client Money (INMA Chapter 5) – understand the basic rules concerning a firm’s dealings with its customers’ money.
Client Money (INMA Chapter 5) – understand the circumstances where money is not Client Money
Client Money (INMA Chapter 5) – understand the Client Money protection rules as they apply to client bank accounts
Client Money (INMA Chapter 5) – understand the terms under which Client Money is held by a firm
Client Money (INMA Chapter 5) – understand the rules relating to the use of other entities

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