Qatar Financial Markets Authority Regulations – Quiz 08

Last Updated: June 2024

Table of Contents

CISI – Qatar Financial Markets Authority Regulations Quiz 8 is covered –
ELEMENT 3
INTERNAL CONTROLS:
Personal account dealing On completion, the cand – (1-6)
Personal account dealing On completion, the cand – Understand the scope of personal account dealing procedures (Article 11) • Employees, spouses and relatives until 2nd degree • Agents
Personal account dealing On completion, the cand – Know the purpose of personal account dealing procedures
Personal account dealing On completion, the cand – Understand the rules relating to personal account dealing (Article 13) • Written procedures (1) • Contract of employment (2) • Restricted lists (3) • Permitted activity (4) • Record keeping requirements (5)
Personal account dealing On completion, the cand – Know those individuals who are identified within the rulebook as being exposed to inside information and/or potential conflicts of interest during the performance of their duties (Article12) • Senior management • Agents of brokers • Corporate finance • Portfolio managers • Compliance Officer

Managing Compliance risk – (7-22)
Managing Compliance risk – Know the management information required to assess the degree to which a Company is in legislative compliance
Managing Compliance risk – Know the purpose and content required of an effective internal audit report
Managing Compliance risk – Understand the purpose of operational planning (Article 17) and business continuity procedures
Managing Compliance risk – Know the record keeping requirements

ELEMENT 5
MANAGING THE RISK OF FINANCIAL CRIME:
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 -(23-30)
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Understand the risks to a firm posed by its customers, products and business model
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Know the key AML/CFT principles
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Know how effective AML/CFT policies are developed, implemented and reviewed
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Know the purpose and key elements of a AML/CFT training programme
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Understand the responsibilities of Senior Management with respect to AML/CFT
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Understand the role of the MLRO and deputy MLRO
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Know the AML/CFT reporting requirements
Anti-Money Laundering and Combating Terrorist Financing Rules 2010 – Know the AML/CFT record keeping requirements

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