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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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General Module (GEN) [VER39/05-17]
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GEN 4 Core Principles

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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.


Contents:
GEN 4.1 Principles for Authorised Firms — application
GEN 4.1.1
GEN 4.1.2
GEN 4.1.3
GEN 4.2 The Principles for Authorised Firms
Principle 1 — Integrity
Principle 2 — Due skill, care and diligence
Principle 3 — Management, systems and controls
Principle 4 — Resources
Principle 5 — Market conduct
Principle 6 — Information and interests
Principle 7 — Conflicts of interest
Principle 8 — Suitability
Principle 9 — Customer assets and money
Principle 10 — Relations with regulators
Principle 11 — Compliance with high standards of corporate governance
Principle 12 — Remuneration practices
GEN 4.3 Principles for Authorised Individuals — application
GEN 4.3.1
GEN 4.4 The Principles for Authorised Individuals
Principle 1 — Integrity
Principle 2 — Due skill, care and diligence
Principle 3 — Market conduct
Principle 4 — Relations with the DFSA
Principle 5 — Management, systems and control
Principle 6 — Compliance