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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER16/07-19]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER33/07-19]

Collective Investment Rules (CIR) [VER25/07-19]

Part 1 Introduction

Part 2 Definitional Provisions

Part 3 Fund Functionaries

Part 4 Core Rules Relating to Establishment and Management of Domestic Funds

Part 5 Rules Specific to Different Types of Domestic Funds

CIR 10 Requirements Specific to Public Funds

CIR 10.1 Application

CIR 10.2 Registration of Public Funds

CIR 10.3 Oversight Arrangements for Public Funds

CIR 10.3 Guidance

Permitted Oversight Arrangements

Suitability Criteria for Persons Providing Oversight Function

General Oversight Duties

Proceedings of the Oversight Provider

Principles and Disclosure of Interests

Principle 1 - Integrity

Principle 2 - Due skill, Care and Diligence

Principle 3 - Market Conduct

Principle 4 - Relations with the DFSA

Systems and Controls Relating to Oversight

Oversight Report

CIR 10.3.13

Co-operation with Oversight Providers

CIR 10.4 Prospectus Requirement for Public Funds

CIR 10.5 Investment and Borrowing Requirements for Public Funds

CIR 11 [Deleted]

CIR 12 Requirements Specific to Exempt Funds

CIR 12A Requirements Specific to Qualified Investor Funds

Part 6 Rules Specific to Specialist Classes of Domestic Funds

Part 7 Marketing of Domestic and Foreign Funds

Part 8 Transfer Schemes and Winding Up of Domestic Funds

Part 9: [Deleted]

CIR App 1 Delegation And Outsourcing

CIR App 2 Meeting Procedures

CIR App 3 Approvals and Notifications

CIR App 4 Guidance On Asset Valuation And Pricing

CIR App 5 Constitution of a Domestic Fund

CIR App 6 Guidance on Fitness and Propriety for Oversight Functions [Deleted]

CIR App 7 [Deleted]

CIR App 7 Content of a Public Fund Prospectus

CIR App 8 Guidance for Hedge Fund Managers

CIR App 9 Use of Price Information Providers

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER44/07-19]

Glossary Module (GLO) [VER44/07-19]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER15/07-19]

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Location: Dubai Financial Services Authority (DFSA) > Rulebook Modules > Collective Investment Rules (CIR) [VER25/07-19] > Part 5 Rules Specific to Different Types of Domestic Funds > CIR 10 Requirements Specific to Public Funds > CIR 10.3 Oversight Arrangements for Public Funds > Oversight Report > CIR 10.3.13

Oversight Report

Co-operation with Oversight Providers

Versions
(1 version)

Jul 11 2010 onwards

CIR 10.3.13

Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

(1) The Person^G providing the oversight function of a Public Fund^G must make a report to Unitholders^G of the Fund^G which must be included in the Fund's^G annual report referred to in CIR Rule 9.4.2.

(2) The oversight report must contain:

(a) a description, which may be in summary form, of the duties of the Person^G carrying out the oversight functions and in respect of the safekeeping of the Fund Property^G ; and

(b) a statement whether, in any material respect:

(i) the issue, sale, redemption and cancellation, and calculation of the price of the Units^G and the application of the Fund's^G income, have not been carried out in accordance with the Rules^G and, the Constitution^G ; and

(ii) the investment and borrowing powers and restrictions applicable to the Fund^G including those specified in CIR section 10.5, if those have been exceeded.

Derived from RM72/2010 (Made 11th July 2010). [VER13/07-10]

Oversight Report

Co-operation with Oversight Providers