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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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General Module (GEN) [VER44/07-19]
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  Versions
(2 versions)
 
Apr 28 2011 - Dec 22 2012Dec 23 2012 onwards

GEN 7.2.8



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.

In assessing whether an applicant has adequate compliance arrangements, the DFSA will consider whether it has:

(a) clear and comprehensive policies and procedures relating to compliance with all applicable legal requirements including the Rules;
(b) adequate means to implement those policies and procedures and monitor that they are operating effectively and as intended.
[Amended] DFSA RM105/2012 (Made 23rd December 2012). [VER32/12-12]