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by Ahcene Lahsasna
Shari'ah Non-compliance Risk Management and Legal Documentations in Islamic Finance
Cover
Contents
Title
Copyright
Foreword
Acknowledgments
About the Author
Introduction
Chapter 1: Fundamental Concept of Sharī`ah and Sharī`ah Non-Compliance Risk
1.0. Introduction
1.1. Concept of Sharī`ah
1.2. Compliance in the Islamic Financial Institutions: An Overview
1.3. Concept of Risk
1.4. The Concept of Sharī`ah Non-Compliance Risk
1.5. Review of the Concept of Sharī`ah Non-Compliance Risk
1.6. Features of Sharī`ah Non-Compliance Risk
1.7. Sharī`ah Non-Compliance Risk Events
1.8. The Sharī`ah Basis for Sharī`ah Compliance
Chapter 2: Sharī`ah Compliance in IFSA 2013 and Classification of Sharī`ah Non-Compliance Risk
2.0. Introduction
2.1. Provisions Unique to Islamic Banks in IFSA
2.2. Sharī`ah Compliance in IFSA 2013
2.3. Classification of Sharī`ah Non-Compliance Risk
Chapter 3: The Major Risk Elements of Sharī`ah Non-Compliance Risk and Its Causes in Islamic Finance Operations
3.0. Introduction
3.1. The Major Risk Elements of Sharī`ah Non-Compliance Risk
3.2. The Causes of Sharī`ah Non-Compliance Risk in Islamic Finance Operations
Chapter 4: Tools and Techniques to Identify Incongruence in Sharī`ah Compliance
4.0. Introduction
4.1. Tools
4.2. Techniques
Chapter 5: Understanding the Sharī`ah Requirements for Mitigating the Sharī`ah Non-Compliance Risk in Islamic Finance
5.0. Introduction
5.1. The Fundamental Islamic Principles in Islamic Contracts
5.2. The Fundamental Islamic Financial Transactions Used in Islamic Finance
Chapter 6: Lines of Defences for Sharī`ah Non-Compliance Risk Management
6.0. Introduction
6.1. The First Line of Defence: Product Owner
6.2. The Second Line of Defence: Management of the IFI
6.3. The Third Line of Defence: Sharī`ah Risk Management
6.4. The Fourth Line of Defence: Sharī`ah Management
6.5. The Fifth Line of Defence: Sharī`ah Committee/Board
6.6. The Sixth Line of Defence: Board of Directors
6.7. The Seventh Line of Defence: Sharī`ah Advisory Council (SAC), Bank Negara Malaysia (BNM)/Authorities
6.8. The Eighth Line of Defence: Sharī`ah Review
6.9. The Ninth Line of Defence: Sharī`ah Audit
6.10. The Tenth Line of Defence: Public
Chapter 7: Sharī`ah Non-Compliance Reporting
7.0. Introduction
7.1. Objective
7.2. Applicability
7.3. Legal Provisions
7.4. Reporting Requirements
7.5. Reported as Potential Sharī`ah Non-Compliance Event
7.6. Submission of Reports on Actual Sharī`ah Non-Compliance Events
7.7. Timeline for Actual Sharī`ah Non-Compliance Reporting
7.8. Potential Sharī`ah Non-Compliance Event
7.9. Timeline for Potential Sharī`ah Non-Compliance Reporting
7.10. No Sharī`ah Non-Compliance Event Is Detected
7.11. Process Flow for Authentication or Confirmation of Sharī`ah Non-Compliance in the IFIS
Chapter 8: Legal Documentations in Islamic Finance
8.0. Introduction
8.1. Introduction to Legal Documentation
8.2. Law Related to Islamic Banking
8.3. General Principles in Legal Documentation
8.4. Legal Documentation: Definition and Sharī`ah Concern
8.5. Incorporation of Sharī`ah Requirements into Legal Documentation
8.6. The Main Functions of the Legal Documentation
8.7. Areas in Legal Documentation under Consideration and Review
8.8. Potential Area of Sharī`ah Non-Compliance Risk
Chapter 9: Drafting Legal Documents
9.0. Introduction
9.1. Structure of the Legal Agreement/Contract
9.2. Tips for Drafting Text and Additional Clauses
9.3. Legalistic Style
Chapter 10: Useful Information and Samples of Legal Documentation
10.0. Introduction
10.1. Sample of an Agreement (Musharakah Agreement in Sukuk Issuance)
10.2. Sample of an Offer Letter
10.3. Sample of Legal Document Structure
10.4. Master Agency Agreement (AIBIM)
10.5. Corporate Wakalah Placement Agreement (AIBIM)
10.6. Corporate Murabahah Master Agreement
10.7. List of the Top Common Audit Shortcomings in Sharī`ah Non-Compliance
Appendix: The Impact of Non-Sharī`ah-Compliance Risk on the IFI, and Checklist
List of Abbreviations
Glossary
Bibliography
Index
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