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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
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
Notices
Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Dec 9 2012 onwards

PIB 10.5 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. The DFSAG may conduct a SREPG to review and evaluate the assessments carried out by an Authorised FirmG under its IRAPG (relevant to firms in CategoriesG 1, 2, 3A, 3B, 3C and 5) and ICAAPG (relevant to firms in CategoriesG 1, 2, 3A and 5). PIB Section A10.3 of PIB App10 contains guidance in relation to a SREPG .
2. The DFSAG may engage with a firm in CategoriesG 1, 2, 3A and 5 in a dialogue where, following an SREPG , the DFSAG considers that it is or may be appropriate to impose an Individual Capital RequirementG on the firm.
3. It is important that a firm cooperates in an open and co-operative manner with the DFSAG in the course of its conduct of the dialogue.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]