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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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GEN 7.5.1

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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.

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(1) An Authorised FirmG must, subject to (2), make the following appointments and ensure that they are held by one or more Authorised IndividualsG at all times:
(a) Senior Executive OfficerG ;
(b) Finance OfficerG ;
(c) Compliance OfficerG ; and
(d) Money Laundering Reporting OfficerG .
(2) An Authorised FirmG which is a Credit Rating AgencyG :
(a) need not make the appointment referred to in (1)(b) and (d); and
(b) must ensure that the appointments referred to in 1(a) and (c) are held by separate Authorised IndividualsG at all times.
Derived from Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]