Main

Legal Framework

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LEGAL ENTITIES LEGISLATION

FINANCIAL SERVICES LEGISLATION

REGULATIONS

RULES

GENERAL RULES

CONDUCT OF BUSINESS RULES

Guidance: Purpose of this rulebook

1. APPLICATION

1.1. General application rule

1.2. Modifications and exclusions

1.2.1. Modifications and exclusions stated in a COB rule

1.2.2. Exclusions in relation to certain categories of Centre Participant

1.2.3. Application in respect of Insurance Intermediaries

1.2.4. Application in respect of Trust Service Providers

1.2.5. Application in respect of Ancillary Service Providers

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1.2.7. Table summarising modifications and exclusions

2. CLIENT CLASSIFICATION

3. COMMUNICATIONS WITH CLIENTS AND FINANCIAL PROMOTIONS

4. KEY INFORMATION AND CLIENT AGREEMENT

5. CONDUCT OF INVESTMENT BUSINESS

6. ORDER EXECUTION AND ORDER HANDLING

7. CONFLICTS OF INTEREST

8. CLIENT ASSETS

9. REPORTING TO CLIENTS

10. INVESTMENT RESEARCH

11. INSURANCE INTERMEDIARIES

12. TRUST SERVICE PROVIDERS

13. ANCILLARY SERVICE PROVIDERS

14. CREDIT RATING AGENCIES

15. COMPLAINTS HANDLING AND DISPUTE RESOLUTION

16. RECORD KEEPING AND INTERNAL AUDIT

17. [intentionally omitted]

18. BANKS

19. CONDUCT OF INSURANCE AND TAKAFUL BUSINESS

20. INSURANCE MANAGEMENT

SCHEDULE 1: TRANSACTION RECORDS

SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT

SCHEDULE 3: TRADE CONFIRMATION

SCHEDULE 4: PERIODIC STATEMENTS

SCHEDULE 5: FINANCIAL PROMOTIONS

ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES

COLLECTIVE INVESTMENT SCHEME RULES

AUTHORISED MARKET INSTITUTION RULES

MARKET RULES

RECOGNITION RULES

DEMATERIALISED INVESTMENT RULES

RULES FOR PRE-IPO LISTINGS

SOVEREIGN BONDS RULES

BANKING BUSINESS PRUDENTIAL RULES

PRUDENTIAL RULES FOR INVESTMENT FIRMS

PRUDENTIAL RULES FOR INSURANCE INTERMEDIARIES

INSURANCE AND REINSURANCE PRUDENTIAL RULES

ISLAMIC BANKING BUSINESS PRUDENTIAL RULES

ISLAMIC FINANCE RULES

TAKAFUL AND RETAKAFUL PRUDENTIAL RULES

REPRESENTATIVE OFFICE RULES

AIFC AUDITOR RULES

AIFC Financial Technology Rules

COOPERATION AND EXCHANGE OF INFORMATION RULES

TERMS AND PROCEDURE FOR CURRENCY TRANSACTIONS

FINANCIAL SERVICES EXEMPT FROM CORPORATE TAX

GLOSSARY

FEES RULES

RULES ON CURRENCY REGULATION AND PROVISION OF INFORMATION ON CURRENCY TRANSACTIONS IN THE AIFC

RULES ON THE SUBSTANTIAL PRESENCE OF THE AIFC PARTICIPANTS APPLYING TAX EXEMPTIONS FOR THE PAYMENT OF CIT, VAT

MULTILATERAL AND ORGANISED TRADING FACILITIES RULES

AIFC RECOVERY AND RESOLUTION RULES

AIFC RULES ON DIGITAL ASSET ACTIVITIES

RULES AND MECHANISMS OF COOPERATION OF UNBACKED DIGITAL ASSET EXCHANGES AND/OR CENTRE PARTICIPANTS AUTHORIZED TO CARRY OUT DIGITAL ASSETS-RELATED ACTIVITIES WITH SECOND-TIER BANK OF THE REPUBLIC OF KAZAKHSTAN

AIFC RULES ON PROVIDING MONEY SERVICES

POLICIES AND POLICY STATEMENTS

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The requirements in COB do not apply to Credit Rating Agencies, with the exception of COB 14 (Credit Rating Agencies).

Guidance: Credit Rating Agencies

In order to ensure that Credit Rating Agencies provide independent analyses and opinions, COB 14 requires Credit Rating Agencies to comply with high-level principles that are based on international standards promoted by the International Organisation of Securities Commissions.

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