|AML/CFT Manual Gap Analysis Tool||Link||
The purpose of this tool is to assist firms to conduct a gap analysis to assess whether their policies and procedures incorporate the key obligations under the QFCRA’s Anti-Money Laundering and Combatting the Financing of Terrorism Rules 2019 (AML/CFTR). While the QFCRA do not prescribe the format or structure in which firms should have documented AML/CFT policies and procedures, firm’s need to ensure their policies and procedures meet the requirements of the QFCRA’s AML/CFTR.
|Form Q07 (Section 7) Suspicious Transaction Report (STR) Notification to Regulatory Authority||Form||
When a firm makes a Suspicious Transaction Report (STR) to the QFIU, the firm must also inform the QFC Regulatory Authority. Submit a Form Q07 (Section 7) via the Electronic Submission System (ESS) to notify the QFC Regulatory Authority.
|QFIU MLRO and Deputy MLRO Notification||Form||The Qatar Financial Information Unit keeps a list of the contact details of the Money Laundering Reporting Officer (MLRO) and Deputy MLRO for financial institutions and DNFBPs.
Firms must complete the form whenever a change of MLRO or Deputy MLRO occurs, and send it electronically and by mail with an official letter to Nawaf Al-Falase, Secretary to the President of the QFIU:
Mr Nawaf Al-Falase
The email notification to the QFIU should also be copied to the QFC Regulatory Authority at email@example.com.
|Change of Deputy MLRO – Form Q7 Notification||Form||
When a firm’s Deputy MLRO changes, the firm must submit a Form Q07 (Section 7) to the QFC Regulatory Authority Notification, in addition to submitting the “QFIU MLRO and Deputy MLRO Notification Form” to the QFIU.
|Annual MLRO Report Guide||Template||The Money Laundering Reporting Officer (MLRO) is required to report to its senior management with an assessment of the adequacy and effectiveness of the firm’s AML/CFT policies, procedures, systems and controls in preventing money laundering and terrorism financing for each calendar year ending 31 December. This template report assists MLROs in their reporting obligation. The completed report must be submitted to the QFC Regulatory Authority by 31 May of the following year.|
|AML/CFT Programme Self- Assessment Questionnaire||Questionnaire||
The AML/CFT Programme Self-Assessment Questionnaire provides a practical method for firms to focus on the key AML/CFT requirements. This questionnaire helps firms to gauge if they are effectively discharging their legal and regulatory obligations to prevent money laundering and terrorist financing.
|Form Q25 template — AML/CFT Return||Form||The Form Q25 must be submitted by firms to the QFC Regulatory Authority by 31 January each year. This template replaced the previously separate Q19, Q23, and Annual AML Return forms.|
|Form Q26 template – NAMLC Data Collection Form||Form||
The Form Q26 must be submitted by firms to the QFC Regulatory Authority by 31 January each year. This template replaced the previous NAMLC Data Collection Form.