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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

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GEN 4.2 The Principles for Authorised Firms

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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.

Principle 1 — Integrity
GEN 4.2.1
Principle 2 — Due skill, care and diligence
GEN 4.2.2
Principle 3 — Management, systems and controls
GEN 4.2.3
Principle 4 — Resources
GEN 4.2.4
Principle 5 — Market conduct
GEN 4.2.5
Principle 6 — Information and interests
GEN 4.2.6
Principle 7 — Conflicts of interest
GEN 4.2.7
Principle 8 — Suitability
GEN 4.2.8
Principle 9 — Customer assets and money
GEN 4.2.9
Principle 10 — Relations with regulators
GEN 4.2.10
Principle 11 — Compliance with high standards of corporate governance
GEN 4.2.11
Principle 12 — Remuneration practices
GEN 4.2.12