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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Part 3 Licensing Requirements
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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Jul 14 2013 onwards

AMI 5.2.2

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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.

(1) An Authorised Market InstitutionG must have and maintain sufficient human resources to operate and supervise its facilities.
(2) An Authorised Market InstitutionG must ensure, as far as reasonably practicable, that its EmployeesG are:
(a) fit and proper;
(b) appropriately trained for the duties they perform; and
(c) trained in the requirements of the legislation applicable in the DIFCG .
(3) An Authorised Market InstitutionG must:
(a) have appropriate arrangements in place to ensure that its EmployeesG maintain their fitness and propriety; and
(b) keep records of the assessment process undertaken for each EmployeeG for a minimum of six years from the date on which an individual ceases to be an EmployeeG .
Derived from RM118/2013 [VER15/07-13]