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Publications
Practice Notes
Practice notes are issued by the QFC Regulatory Authority to assist Firms in implementing their obligations under the relevant legislation. They should be considered as persuasive rather than prescriptive and indicative of best practice.
Guides
Self Assessment Questionnaire
The AML/CFT Self Assessment Questionnaire provides a practical method for Firms to focus on the key AML/CFT requirements and to enable them to gauge if they are effectively discharging their legal and regulatory obligations to prevent money laundering, terrorist financing and fraud. The completion of the AML/CFT Self Assessment will assist Firms in determining which policies, procedures, systems and controls need to be strengthened to ensure that the Firm has an effective AML/CFT and fraud prevention regime in place.
Licensed Professional Firms – Annual AML Questionnaire
Licensed Professional Firms (i.e. Licensed Firms subject to the QFC AML Regulations) are required to submit an Annual AML Questionnaire (Form Q19) to the Regulatory Authority. They are required to submit the questionnaire on an annual basis for the period ending 31 December, by 31 March the following year. Form Q19-Licensed Professional Firms - Annual AML Questionnaire
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