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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
Sourcebook Modules
Regulatory Policy and Process Sourcebook (RPP)
Regulatory Policy and Process Sourcebook (RPP) December 2012 Edition
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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(1 version)
Apr 28 2011 onwards

RPP 2 Authorisation — Becoming Regulated

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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.

RPP 2-1 DFSA's Approach to Authorisation
RPP 2-2 Assessing the Fitness and Propriety of Authorised Persons
Background and History
Locations of Offices
Close Links
Legal Status of Authorised Firms
Ownership and Group
Resources, Systems and Controls
Authorised Firms — Collective suitability of Individuals or Other Persons Connected to the Authorised Firm
Authorised Market Institutions — Other Considerations
RPP 2-3 Assessing the Fitness and Propriety of Authorised Individuals and Principal Representatives
Competence and Capability
Financial Soundness
RPP 2-4 Waivers During Authorisation
RPP 2-4-1
RPP 2-5 Start-Up Entities in the DIFC
What are "Start up Entities"?
The DFSA's Risk Based Approach to Start Up Entities: Broad Risk Categories
Financial Risk
Governance Risk
Business/Operational Risk
Compliance Risk
Main Information Requirements
RPP 2-6 Application for a Retail Endorsement
RPP 2-6-1
RPP 2-6-2
RPP 2-7 Application for an Islamic Endorsement
RPP 2-7-1
RPP 2-7-2
RPP 2-7-3
RPP 2-8 Application to be a Representative Office
RPP 2-8-1
RPP 2-8-2
RPP 2-8-3
RPP 2-9 Application to be an Ancillary Service Provider
RPP 2-9-1
RPP 2-9-2
RPP 2-9-3
RPP 2-9-4
RPP 2-9-5
RPP 2-10 Application to be an Auditor
RPP 2-10-1
RPP 2-10-2
RPP 2-10-3