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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Part 3 Licensing Requirements
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Jul 14 2013 onwards

AMI 5.3.6



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 Compliance OfficerG function is carried out by an individual who:

(a) has the overall responsibility for the Authorised Market Institution'sG compliance with the Licensing RequirementsG and other applicable requirements in carrying out Financial ServicesG ; and
(b) is either a MemberG of the Governing BodyG or a Senior ManagerG of the Authorised Market InstitutionG .
Derived from RM118/2013 [VER15/07-13]