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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER15/07-18]
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Jul 14 2013 - Jan 31 2017Feb 1 2017 onwards

AML 14.3.1



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.

A Relevant PersonG must inform the DFSAG in writing as soon as possible if, in relation to its activities carried on in or from the DIFCG or in relation to any of its branches or SubsidiariesG , it:

(a) receives a request for information from a regulator or agency responsible for AML, counter-terrorism financing, or sanctions regarding enquiries into potential money laundering or terrorist financing or sanctions breaches;
(b) becomes aware, or has reasonable grounds to believe, that a money laundering event has occurred or may have occurred in or through its business;
(c) becomes aware of any money laundering or sanctions matter in relation to the Relevant PersonG or a member of its GroupG which could result in adverse reputational consequences to the Relevant PersonG ; or
(d) becomes aware of a significant breach of a Rule in this module or a breach of Federal AML legislation by the Relevant PersonG or any of its Employees.
Derived from RM117/2013 [VER9/07-13]
[Amended] DFSA RM196/2016 (Made 7th December 2016). [VER13/02-17]