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Dubai Financial Services Authority (DFSA): Contents

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GEN 4.2 The Principles for Authorised Firms

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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:
Principle 1 — Integrity
GEN 4.2.1
Principle 2 — Due skill, care and diligence
GEN 4.2.2
Principle 3 — Management, systems and controls
GEN 4.2.3
Principle 4 — Resources
GEN 4.2.4
Principle 5 — Market conduct
GEN 4.2.5
Principle 6 — Information and interests
GEN 4.2.6
Principle 7 — Conflicts of interest
GEN 4.2.7
Principle 8 — Suitability
GEN 4.2.8
Principle 9 — Customer assets and money
GEN 4.2.9
Principle 10 — Relations with regulators
GEN 4.2.10
Principle 11 — Compliance with high standards of corporate governance
GEN 4.2.11
Principle 12 — Remuneration practices
GEN 4.2.12