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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
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  Versions
(2 versions)
 
Dec 9 2012 - Dec 31 2017Jan 1 2018 onwards

PIB 9.2.6



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.

An Authorised FirmG must ensure that the system referred to in PIB Rule 9.2.1(3)(c):

(a) enables the Authorised Firm'sG Governing BodyG and senior management to review compliance with limits set in accordance with PIB Rule 9.2.7 and operating procedures; and
(b) has appropriate approval processes, limits and other mechanisms designed to provide reasonable assurance that the Authorised Firm'sG Liquidity RiskG management processes are adhered to.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM209/2017 (Made 25th October 2017). [VER30/01-18]