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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Rulebook Modules
Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER15/07-18]
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AML 14.4.1



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 maintain the following records:

(a) a copy of all documents and information obtained in undertaking initial and ongoing Customer Due DiligenceG ;
(b) records (consisting of the original documents or certified copies) in respect of the customer business relationship, including:
(i) business correspondence and other information relating to a customer's account;
(ii) sufficient records of transactions to enable individual transactions to be reconstructed; and
(iii) internal findings and analysis relating to a transaction or any business, such as if the transactionG or business is unusual or suspicious, whether or not it results in a Suspicious Activity ReportG ;
(c) notifications made under AML Rule 13.2.2};
(d) Suspicious Activity Reports and any relevant supporting documents and information, including internal findings and analysis;
(e) any relevant communications with the FID;
(f) the documents in AML Rule 14.4.2; and
(g) any other matter that the Relevant PersonG is expressly required to record under these Rules,

for at least six years from the date on which the notification or report was made, the business relationship ends or the transaction is completed, whichever occurs last.

Derived from RM117/2013 [VER9/07-13]
[Amended] DFSA RM196/2016 (Made 7th December 2016). [VER13/02-17]
[Amended] DFSA RM223/2018 (Made 18th April 2018). [VER14/07-18]
[Amended] DFSA RM231/2018 (Made 6th June 2018) [VER15/07-18]