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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal

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  Versions
(1 version)
 
Jul 5 2012 onwards

MKT 7 Sponsors and Compliance Advisers

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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.


Contents:
MKT 7.1 Sponsors
Application
Appointment of Sponsors
Procedures Relating to Appointment of Sponsors
Obligations of a Sponsor
Duty of Care of Sponsors
Co-operation with Sponsors
Termination of Appointment
MKT 7.2 Compliance Advisers
Application
Appointment of a Compliance Adviser
Obligations of a Reporting Entity in Relation to its Compliance Adviser
Co-operation with Compliance Advisers
Termination of Compliance Adviser