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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
AMI 5 General Licensing Requirements Applicable to all Authorised Market Institutions
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DFSA Codes of Practice
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Jul 14 2013 - Aug 20 2014Aug 21 2014 onwards

AMI 5.3.1



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) An Authorised Market InstitutionG must, for the purpose of proper discharge of its Regulatory FunctionsG , have at all times individuals appointed to carry out the functions of the:
(a) Governing BodyG ;
(b) Senior Executive OfficerG ;
(c) Finance OfficerG ;
(d) Compliance OfficerG ;
(e) Risk OfficerG ;
(f) Money Laundering Reporting OfficerG ; and
(g) Internal AuditorG .
(2) Each of the functions of an Authorised Market InstitutionG specified in (1)(a) to (g) are Licensed FunctionsG for the purposes of Article 43(1) of the Regulatory LawG .
Derived from RM118/2013 [VER15/07-13]
[Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]