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Apr 28 2011 onwards

RPP 3 Supervision — Being Regulated

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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.

RPP 3-1 DFSA's Approach to Supervision
Supervision Philosophy
Risk management cycle
Risk Matrix — Impact and Probability Ratings
Risk-based classification of firms
Risk mitigation
DFSA's Relationship with Firms
Notifications to the DFSA
Co-Operation with Other Regulators
RPP 3-2 Supervision of Authorised Firms
Group Supervision
Domestic Firm's Group With DIFC Head Office
Subsidiary of a Non-DIFC Firm
Branch of a Non-DIFC Firm
Periodic Returns for Authorised Firms
On-going Risk Analysis
Review of Risk Management Systems
Desk Based Reviews
On-Site Visits
Periodic Communications
External Auditor Reports, Statements and Tripartite Meetings
Requiring Information and Documents
Requirements relating to a Change in Control
DFSA approval
Application for a Change of Scope of Licence
Notification to the DFSA relating to a Major Acquisition
Application for a Withdrawal of Licence
RPP 3-3 Supervision of Representative Offices
RPP 3-3-1
RPP 3-3-2
RPP 3-3-3
RPP 3-4 Supervision of DNFBPs
RPP 3-4-1
RPP 3-4-2
RPP 3-4-3
RPP 3-4-4
RPP 3-5 Supervision of Registered Auditors
RPP 3-5-1
RPP 3-5-2
RPP 3-5-3
RPP 3-5-4
RPP 3-6 Supervision of Authorised Market Institutions
Official List of Securities
Group Supervision
Application for a Change in Control
Directions Power
RPP 3-7 Business Transfer Schemes
General background
Applying to the Court
Alternative Arrangements