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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 10 Guidance

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.

1. This chapter deals with the regulatory requirements arising out of the need for Authorised FirmsG to carry out a self-assessment of their risk which can be reviewed and assessed by the regulator. This chapter details the RulesG stipulating the need to complete internal risk assessments by Authorised FirmsG in defined frequencies and the DFSA'sG role in reviewing the results of such assessments. In the case of Authorised FirmsG facing financial risks, the requirements in this chapter mandate completion of an internal capital adequacy assessment process. The DFSAG will review the results of such internal risk assessments. This chapter also sets out how the DFSAG may impose an additional capital requirement on a firm-specific basis in addition to the minimum requirement specified in PIB chapter 3 of this module.
2. PIB Appendix 10 provides detailed guidance on the various components of the supervisory review and evaluation process and explains the role of the different parties in completing the required processes.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]