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Dubai Financial Services Authority (DFSA): Contents

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  Versions
(1 version)
 
Jul 14 2013 onwards

AMI 9.7.1



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.

Where an Authorised Market InstitutionG has investigated a complaint arising in connection with the performance of, or failure to perform, any of its Regulatory FunctionsG , and the conclusion is, that the Authorised Market InstitutionG should:

(a) make a compensatory payment to any person; or
(b) remedy the matter which was the subject of that complaint,

the Authorised Market InstitutionG must immediately notify the DFSAG of that event and give the DFSAG a copy of the report and particulars of the recommendation as soon as that report or those recommendations are available to it.

Derived from RM118/2013 [VER15/07-13]