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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 5.3.1 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.

The nature and extent of the systems and controls of an Authorised PersonG will depend upon a variety of factors including the nature, scale and complexity of its business. While all Authorised PersonsG , irrespective of the nature, scale, and complexity of their business and legal structure or organisation need to comply with this chapter, the DFSAG will take into account these factors and the differences that exist between Authorised PersonsG when assessing the adequacy of an Authorised Person'sG systems and controls. Nevertheless, neither these factors nor the differences relieve an Authorised PersonG from compliance with its regulatory obligations.

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