Home   Browse contents   View updates   Search  
     Quick search

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
General Module (GEN) [VER46/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

Whole Section Print Print Manager Link

GEN 4 Core Principles

View whole sectionWhole 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.

GEN 4.1 Principles for Authorised Firms — application
GEN 4.1.1
GEN 4.1.2
GEN 4.1.3
GEN 4.2 The Principles for Authorised Firms
Principle 1 — Integrity
Principle 2 — Due skill, care and diligence
Principle 3 — Management, systems and controls
Principle 4 — Resources
Principle 5 — Market conduct
Principle 6 — Information and interests
Principle 7 — Conflicts of interest
Principle 8 — Suitability
Principle 9 — Customer assets and money
Principle 10 — Relations with regulators
Principle 11 — Compliance with high standards of corporate governance
Principle 12 — Remuneration practices
GEN 4.3 Principles for Authorised Individuals — application
GEN 4.3.1
GEN 4.4 The Principles for Authorised Individuals
Principle 1 — Integrity
Principle 2 — Due skill, care and diligence
Principle 3 — Market conduct
Principle 4 — Relations with the DFSA
Principle 5 — Management, systems and control
Principle 6 — Compliance