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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(2 versions)
Up to Jul 4 2012Jul 5 2012 onwards

GEN 5.2.3

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) An Authorised PersonG must establish and maintain an up-to-date record of the arrangements it has made to comply with Rules GEN 5.2.1 and GEN 5.2.2.
(2) The record must show that the members of the Governing BodyG and the senior management are aware of and have accepted the responsibilities apportioned in accordance with GEN Rule 5.2.1.
(3) Where a responsibility has been allocated to more than one individual, the record must show clearly how that responsibility is allocated between the individuals.
(4) The record must be retained for six years from the date on which it was established or superseded by a more up-to-date record.

Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]