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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Dec 9 2012 onwards

PIB 8.1.2

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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.

(1) The DFSAG may require an Authorised FirmG to:
(a) form a Financial GroupG with any other entity within its GroupG ; or
(b) include within its Financial GroupG any other entity within its GroupG ;
where the DFSAG considers it necessary or desirable to do so in the interests of effective supervision of the Authorised FirmG .
(2) An Authorised FirmG may, for the purposes of this section, exclude from its Financial GroupG any entity the inclusion of which would be misleading or inappropriate for the purposes of Financial GroupG supervision, provided the Authorised FirmG has obtained the DFSA'sG prior written approval.
(3) An Authorised FirmG must provide to the DFSAG , if requested, any of the following information in relation to its GroupG or Financial GroupG :
(a) details as to the entities within the GroupG or Financial GroupG ;
(b) the structure of the GroupG or Financial GroupG ; and
(c) the systems and controls in place to manage Group RiskG .
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]