REGULATED ACTIVITIES

Regulated Activities are defined in the QFC Financial Services Regulations (“FSR”), which sets out the framework for the regulation of the financial services sector operating from the QFC.

If a firm wishes to carry on one or more of the following Regulated Activities, the firm must obtain Authorisation from the QFC Regulatory Authority in addition to holding a certificate of incorporation or registration issued by the CRO and being licensed by the QFCA (refer to The Application Process).  

  1. Deposit Taking

  2. Providing Credit Facilities

  3. Providing Custody Services

  4. Dealing in Investments

  5. Managing Investments

  6. Advising on Investments

  7. Arranging Deals in Investments

  8. Arranging Credit Facilities

  9. Arranging the Provision of Custody Services

  10. Operating a Collective Investment Fund

  11. Carrying out a Contract of Insurance

  12. Effecting a Contract of Insurance

No firm may carry on a Regulated Activity in or from the QFC without Authorisation from the QFC Regulatory Authority. A firm may only conduct the particular Regulated Activities that it has been granted specific Authorisation by the QFC Regulatory Authority to carry on.