Home   Browse contents   View updates   Search  
     Quick search
Go
   

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

Whole Section Print Print Manager Link


  Versions
(1 version)
 
Apr 28 2011 onwards

RPP 2 Authorisation — Becoming Regulated

View whole sectionWhole 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.


Contents:
RPP 2-1 DFSA's Approach to Authorisation
Introduction
RPP 2-2 Assessing the Fitness and Propriety of Authorised Persons
Introduction
Background and History
Locations of Offices
Close Links
Legal Status of Authorised Firms
Ownership and Group
Controllers
Resources, Systems and Controls
Authorised Firms — Collective suitability of Individuals or Other Persons Connected to the Authorised Firm
Authorised Market Institutions — Other Considerations
RPP 2-3 Assessing the Fitness and Propriety of Authorised Individuals, Principal Representatives and Key Individuals
Introduction
Integrity
Competence and Capability
Financial Soundness
RPP 2-4 Waivers During Authorisation
RPP 2-4-1
RPP 2-4-2
RPP 2-5 Start-Up Entities in the DIFC
[Deleted]
What are "Start up Entities"?
Entities seeking authorisation as Banks
The DFSA's Risk-Based Approach to Start Up Entities: Broad Risk Categories
Financial Risk
Governance Risk
Business/Operational Risk
Compliance Risk
Main Information Requirements
RPP 2-6 Application for a Retail Endorsement
RPP 2-6-1
RPP 2-6-2
RPP 2-7 Application for an Islamic Endorsement
RPP 2-7-1
RPP 2-7-2
RPP 2-7-3
RPP 2-8 Application for an Endorsement to Operate a Multilateral Trading Facility or Act as a Trade Repository
RPP 2-8-1
RPP 2-8-2
RPP 2-8-3
RPP 2-9 Application to be a Representative Office
RPP 2-9-1
RPP 2-9-2
RPP 2-9-3
RPP 2-10 Registering as a DNFBP
RPP 2-10-1
RPP 2-10-2
RPP 2-9-3 [Deleted]
RPP 2-9-4 [Deleted]
RPP 2-9-5 [Deleted]
RPP 2-11 Application to be a Registered Auditor
RPP 2-11-1
RPP 2-11-2
RPP 2-11-3
RPP 2-12 Application to be an Audit Principal
RPP 2-12-1
RPP 2-12-2
RPP 2-12-3
RPP 2-12 [Deleted]
RPP 2-12-1 [Deleted]
RPP 2-12-2 [Deleted]
RPP 2-12-3 [Deleted]