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Contents:
Policy Statement 1/2005 Confidential Regulatory Information — as amended 30 January 2006
A Introduction
B Guiding Principles
C Relevant Legislation
D Internal Procedures
Policy Statement 2/2005 Start Up Entities in the DIFC — as amended on 16 February 2006
Introduction
What are "Start up Entities"?
The DFSA's Risk Based Approach to Start Up Entities: Broad Risk Categories
Main Information Requirements
Policy Statement 1/2006 Sponsors
Introduction
To whom does this Policy apply?
What is the purpose and role of a sponsor?
What kind of expertise and resources does the DFSA expect a sponsor to have?
What are a sponsor's obligations?
What are the obligations of Person making a Prospectus Offer regarding its sponsor?
Policy Statement 2/2006 Compliance Advisers to Reporting Entities
Introduction
To whom does this Policy apply?
What is the purpose and role of a compliance adviser?
What kind of expertise and resources does the DFSA expect a compliance adviser to have?
When will a Reporting Entity be required to appoint a compliance adviser?
What are a Reporting Entity's obligations regarding compliance advisers?
What can a compliance adviser do to assist a Reporting Entity?
Policy Statement 1/2010 Confidential Regulatory Information — replacing Policy Statement 1/2005
1. Introduction
2. Principles
3. Powers to Obtain Confidential Information
4. Confidentiality Obligations
5. Statutory Gateways for Disclosure
6. Requests for Confidential Information
7. Exercising Powers for Other Authorities
8. Procedural Fairness
9. Information under Memoranda of Understanding
10. Disclosure to a Court
11. Foreign Secrecy Laws in the DIFC
12. Information Management in the DFSA