Local Firm(incorporated in the QFC)

Firm

Non-Local Firm(Branch)

Person Ceasing orAcquiring Control

Firm Name:

QFC Number:

Is the QFC Licensed Firm:

Form submitted by:

FORM Q06

QFC LICENSED

FIRMS

FOR OFFICIAL USE

Reference No.:

Date received:

Received by:

Form Q06-V4-MAR16

CONTROLLER NOTICE

2

Form Q06 – QFC Licensed Firms ‘Controller Notice’ is to be used to:

• notify the QFC Authority of a proposed acquisition or cessation of Control in a Local Firm;

• notify the QFC Authority of a proposed acquisition or cessation of Control in a Non-Local Firm

This form is to be completed by:

• the QFC Licensed Firm in question; or

• the Person who is proposing to acquire or change Control in a Licensed Firm.

Please refer to Rule 8 of the QFCA Rules.

• All questions must be answered in full and the use of abbreviations should be avoided.

• Dates must be provided in the following format: DD/MM/YYYY.

• Answers must be typed and additional pages attached if necessary.

• Please ensure that any supporting documentation, as identified in section 6, is clearly labelled

and securely attached.

• A separate form must be completed for each notice.

• Defined terms are identified throughout this form by the capitalisation of the initial letter

and italicisation of the word or phrase. Please refer to the glossary for definitions.

• All documentation required to be submitted must be in the English language or accompanied

by an appropriate translation into the English language.

PURPOSE OF THIS FORM

COMPLETING THIS FORM

3

• The information contained in this lodged form will be used as the basis upon which the

register maintained by the QFC Authority and the CRO are updated, subject to applicable QFC

Authority legislation.

• The information contained in any lodged form may be shared between the QFC Regulatory

Authority, the QFC Authority and the CRO under arrangements between them, and in

accordance with applicable QFC confidentiality and data protection legislation.

HOW WILL INFORMATION

IN THIS FORM BE USED?

• This form and any supporting documents must be filed

in original only and sent to:

• The Licensed Firm must lodge this form and any

applicable supporting documents within the prescribed

time limit. Any failure to do so may result in a breach of

the applicable Regulations and Rules.

QFC Authority, QFC Tower 1, PO Box 23245, West Bay, Doha, QatarT: +974 4496 7777F: +974 4496 7676E: licensing@qfc.qa

SUBMITTING THIS FORM

4

1 Contact details 5

2 Controller Notice 6

3 Controller Notice – Individual 7

4 Controller Notice – Entity 8

5 Declaration 10

6 List of attachments 11

7 Glossary 12

CONTENTS

SECTION

5

1.1 Name:

1.2 Job title:

1.3 Office address:

1.4 Telephone number (include country and area codes):

1.5 Fax number:

1.6 Email address:

1.7 Preferred method of contact:

Please provide details of the principal contact responsible for this form.

SECTION 1

CONTACT DETAILS

6

CONTROLLER NOTICE

SECTION 2

2.1 This Controller Notice is to:

Notify of a cessation or acquisition of Control in a Local Firm.

Notify of a cessation or acquisition of Control in a Non-Local Firm.

A.

B.

2.2 If notifying of a cessation of Control, please provide reasons:

2.3 Effective date (if applicable):

2.4 Total proposed Control expressed as a percentage of shares (if applicable):

2.5 Please provide details of how the Control can be exercised

(including details on the type of Control):

2.6 Is the Controller an individual or an Entity?:

Individual (complete section 3).

Entity (complete section 4).

A.

B.

7

CONTROLLER – INDIVIDUAL

Complete this section if the Controller is an individual – otherwise please proceed to Section 4.

3.1 Title (Mr/Mrs/Ms/Dr etc):

3.2 Full name:

3.7 Nationality:

3.3 Residential address:

3.8 Details of any Directorships /Partnerships currently held (attach additional pages if required):

3.9 Details of holdings in other Entities that represent a Control (attach additional pages if required):

3.6 Passport number (attach copy of passport):

3.4 Date of birth: 3.5 Place of birth:

Company/Partnership name:

Company/Partnership name:

Principal activity:

Principal activity: Nature of Control:

SECTION 3

8

CONTROLLER – ENTITY

Complete this section if the Controller is an Entity.

4.1 Full name of Entity:

4.2 Date of formation/establishment:

4.3 Place of establishment:

4.4 Postal address:

4.8 Name of Entity’s Licensing/Monitoring Body (if applicable):

4.5 Head office address:

4.7 Principal activity:

4.6 Legal status (Company, partnership, trust etc):

SECTION 4

9

CONTROLLER – ENTITY (cont)

4.9 Entity’s website address (if applicable):

4.10 Directors/Partners/Other Interests of the Controller:

4.11 Please attach the Entity’s most current audited financial statements:

Name: Title:

SECTION 4

10

I declare that, to the best of my knowledge and belief, having made due enquiry, the

information given in this form is complete and correct. I understand that it is a contravention

of QFC Legislation to knowingly or recklessly provide to the QFC Authority any information,

which is false, misleading or deceptive, or to conceal information where the concealment of

such information is likely to mislead or deceive.

I declare my understanding that the QFC Authority may request more detailed information

(including but not limited to, personal, educational, employment and financial information)

should it be deemed necessary to adequately assess any Controller. I consent to the

QFC Authority contacting any previous employers, educational institutions, professional

organisations or any other organisation, to verify any information contained in this form.

For the purposes of the Data Protection Regulations 2005, the Personal Data provided

in this form will be processed by the QFC Authority in accordance with Article 8 of the

Data Protection Regulations 2005, and by signing this form you consent to the recipient

sharing the information contained within this form with the Regulatory Authority, the QFC

Authority and CRO.

I confirm that I have the authority to declare as specified above and to sign this form. I also

confirm that I have the authority to give the consent specified above.

DECLARATION

SECTION 5

Position:

Signature: Date:

Print name of SEF, Director or Partner or Person proposing Control change:

11

LIST OF ATTACHMENTS

SECTION: DOCUMENT: INCLUDED:

Supporting documentation included with this form:

3.6 Copy of individual’s passport

4.11 Certified copy of audited annual accounts

SECTION 6

12

A person authorised by the QFC Regulatory Authority to engage in Regulated Activities as set forth

in Article 23 of QFC Financial Services Regulations.

Any body corporate, including a LLP, constituted under the QFC Companies Regulations or the

QFC Limited Liability Partnership Regulations and a body corporate constituted under the law of a

country or territory outside of the QFC.

A company incorporated under the QFC Companies Regulations or under the law of a country or

territory outside the QFC where the liability of each of its members (in its capacity as a member) is

limited, under the laws of that jurisdiction, to the amount of its capital contribution to the company.

Has the meaning set out in QFCA Rules 8.2.1.

Anyone who acquires exercises or ceases Control over a Licensed Firm.

A notice relating to a change in Control of a Licensed Firm as required under QFCA Rules 8.3.

The Companies Registration Office established pursuant to Article 7 of the QFC Law.

In relation to any Body Corporate, unincorporated association or Partnership, a Person appointed

to direct its affairs including a Person named as director or any Person in accordance with whose

instructions that Body Corporate or Partnership is accustomed to act.

A Body Corporate or Partnership or unincorporated association carrying on business with a view

to a profit.

Means a Person licensed by the QFCA to engage in Non-Regulated Activities in or from the QFC,

and that is not an Authorised Firm.

A regulatory or governmental authority, body or agency in a jurisdiction outside the QFC (whether

in the State of Qatar or otherwise).

A Licensed Firm incorporated in the QFC.

A Licensed Firm established outside the QFC and operating through a branch in the QFC.

Any partnership, including a partnership constituted under the law of a country or territory outside

the QFC, but not including a LLP.

Any person and includes a natural or legal person, body corporate, or body unincorporated, including a

branch, company, partnership, unincorporated association or other undertaking, government or state.

The Qatar Financial Centre.

AUTHORISED FIRM:

BODY CORPORATE:

COMPANY:

CONTROL:

CONTROLLER:

CONTROLLER NOTICE:

CRO:

DIRECTOR:

ENTITY (OR ENTITIES):

LICENSED FIRM:

LICENSING/ MONITORING BODY:

LOCAL FIRM:

NON-LOCAL FIRM:

PARTNERSHIP:

PERSON:

QFC:

GLOSSARY

SECTION 7

13

The Qatar Financial Centre Authority.

Regulations enacted by the Minister in accordance with Article 9 of the QFC Law.

The Regulatory Authority of the QFC established in accordance with Article 9 of the QFC Law.

Rules made by the QFC Authority under the Regulations pursuant to which the QFC Authority

has power to make rules, including, where the context permits, standards, principles and codes

of practice.

Has the meaning set out in QFCA Rules 11.3.

QFC AUTHORITY (QFCA):

REGULATIONS:

REGULATORY AUTHORITY:

RULES:

SENIOR EXECUTIVE FUNCTION (SEF):

SECTION 7

PO Box 23245, Doha, Qatar • T: +974 4496 7777 • F: +974 4496 7676 • info@qfc.qa • qfc.qa

QATAR FINANCIAL CENTRE (QFC)