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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Sourcebook Modules
Regulatory Policy and Process Sourcebook (RPP)
Regulatory Policy and Process Sourcebook (RPP) December 2012 Edition
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

Whole Section Print Print Manager Link

(1 version)
Dec 23 2012 onwards

RPP 5 Enforcement

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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.

RPP 5-1 The DFSA's Approach to Enforcement
Enforcement Philosophy
RPP 5-2 Enforcement Framework
General Contravention Provisions
Involvement in Contravention
Enforcement Process
RPP 5-3 Assessment of Complaints and Referrals
RPP 5-3-1
Sources of Complaints and Referrals
Regulatory Complaints
Complaints Against the DFSA and its Employees
RPP 5-4 Commencement of Investigations
Investigation Determination
RPP 5-5 Information Gathering
Article 80 Powers
Production of Information
Production of Documents
Compulsory Interview
Claims of Privilege and Other Protections
Enforcement of the DFSA's Investigative Powers
Obstruction of the DFSA
Return of Information and Documents
RPP 5-6 Remedies
RPP 5-6-1
RPP 5-6-2
RPP 5-6-3
RPP 5-6-4
RPP 5-6-5
RPP 5-6-6
RPP 5-6-7
RPP 5-7 Appointment of Managers
RPP 5-7-1
RPP 5-7-2
RPP 5-7-3
RPP 5-7-4
RPP 5-7-5
RPP 5-7-6
RPP 5-8 Fines
RPP 5-8-1
RPP 5-8-2
RPP 5-8-3
RPP 5-8-4
RPP 5-8-5
Administrative Fine
RPP 5-9 Administrative Censure
RPP 5-9-1
RPP 5-9-2
RPP 5-9-3
RPP 5-10 The Institution of Proceedings Before the Financial Markets Tribunal or Court
RPP 5-10-1
RPP 5-10-2
RPP 5-10-3
RPP 5-10-4
RPP 5-10-5
RPP 5-10-6
RPP 5-11 Injunctions and Orders
RPP 5-11-1
RPP 5-11-2
RPP 5-12 Civil Proceedings
RPP 5-12-1
RPP 5-12-2
RPP 5-12-3
RPP 5-12-4
RPP 5-12-5
RPP 5-13 The Compulsory Winding Up of a Regulated Entity
RPP 5-13-1
RPP 5-13-2
RPP 5-14 Markets Law — Orders in the Interests of the DIFC
RPP 5-14-1
RPP 5-14-2
RPP 5-14-3
RPP 5-15 Intervention Power
RPP 5-15-1
RPP 5-15-2
RPP 5-15-3
RPP 5-16 Penalty Guidance
RPP 5-16-1
RPP 5-16-2
RPP 5-16-3
RPP 5-16-4
RPP 5-16-5
RPP 5-17 Settlement Guidance
RPP 5-17-1
RPP 5-17-2
RPP 5-17-3
RPP 5-17-4
RPP 5-17-5
RPP 5-17-6
RPP 5-17-7
RPP 5-17-8
Factors the DFSA Will Consider When Contemplating Settlement
Form of Settlement
Enforceable Undertakings
Acceptance of an Enforceable Undertaking
Variation or Withdrawal
Compliance with an EU
RPP 5-18 Costs
RPP 5-18-1
RPP 5-18-2
Undertakings as to Damages
Enforcement of Orders
RPP 5-19 Publicity
RPP 5-19-1
General Policy on Publicity of Enforcement Actions
Commencement and Conclusion of Investigations
Commencement of proceedings
Disclosure of Decisions
Disclosure of Enforceable Undertakings or Other Settlements
Content of Publication
Mode of Publication
RPP 5-20 Maintenance of Registers
RPP 5-20-1
RPP 5-21 Conclusion of an Investigation
RPP 5-21-1
RPP 5-21-2
Costs of Investigation