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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.


Contents:
RPP 3-1 DFSA's Approach to Supervision
Introduction
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
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RPP 3-2 Supervision of Authorised Firms
Introduction
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
Outsourcing
Application for a Withdrawal of Licence
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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
Introduction
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