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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 8.2.1

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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.

An Authorised FirmG in CategoryG 1, 2 or 5 that is a member of a GroupG must establish and maintain systems and controls for the purpose of:

(a) monitoring the effect on the Authorised FirmG of:
(i) its relationship with other members of its GroupG ;
(ii) its membership in its GroupG ; and
(iii) the activities of other members of its GroupG ;
(b) monitoring compliance with Financial GroupG supervision requirements below, including systems for the production of relevant data;
(c) monitoring funding within the GroupG ; and
(d) monitoring compliance with Financial GroupG reporting requirements.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]