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
RPP 3 Supervision — Being Regulated
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 3-2 Supervision of Authorised Firms

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.

To view past versions of this module in PDF format, please visit the Archive.


Contents:
Introduction
RPP 3-2-1
RPP 3-2-2
RPP 3-2-3
RPP 3-2-4
Group Supervision
RPP 3-2-5
RPP 3-2-6
RPP 3-2-7
Domestic Firm's Group With DIFC Head Office
RPP 3-2-8
Subsidiary of a Non-DIFC Firm
RPP 3-2-9
RPP 3-2-10
RPP 3-2-11
Branch of a Non-DIFC Firm
RPP 3-2-12
RPP 3-2-13
RPP 3-2-14
RPP 3-2-15
RPP 3-2-16
Periodic Returns for Authorised Firms
RPP 3-2-17
RPP 3-2-18
On-going Risk Analysis
RPP 3-2-19
RPP 3-2-20
RPP 3-2-21
RPP 3-2-22
Review of Risk Management Systems
RPP 3-2-23
Desk Based Reviews
RPP 3-2-24
RPP 3-2-24 [Deleted]
On-Site Visits
RPP 3-2-25
RPP 3-2-26
Periodic Communications
RPP 3-2-27
RPP 3-2-28
RPP 3-2-29
RPP 3-2-30
External Auditor Reports, Statements and Tripartite Meetings
RPP 3-2-31
Requiring Information and Documents
RPP 3-2-32
Requirements relating to a Change in Control
RPP 3-2-33
RPP 3-2-34 [Deleted]
RPP 3-2-35 [Deleted]
RPP 3-2-36 [Deleted]
DFSA approval
RPP 3-2-34
RPP 3-2-35
RPP 3-2-36
RPP 3-2-37
Application for a Change of Scope of Licence
RPP 3-2-38
RPP 3-2-39
RPP 3-2-40
RPP 3-2-41
Notification to the DFSA relating to a Major Acquisition
RPP 3-2-42
RPP 3-2-43
RPP 3-2-44
RPP 3-2-45
RPP 3-2-46
RPP 3-2-47
Outsourcing
RPP 3-2-48
RPP 3-2-49
RPP 3-2-50
Application for a Withdrawal of Licence
RPP 3-2-51
RPP 3-2-52
RPP 3-2-53
RPP 3-2-54
RPP 3-2-55
RPP 3-2-56
[Deleted]
RPP 3-2-48 [Deleted]
RPP 3-2-49 [Deleted]
RPP 3-2-50 [Deleted]
RPP 3-2-51 [Deleted]
RPP 3-2-52 [Deleted]
RPP 3-2-53 [Deleted]
[Deleted]
RPP 3-2-54 [Deleted]
RPP 3-2-55 [Deleted]
RPP 3-2-56 [Deleted]