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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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
Financial Markets Tribunal

Whole SectionText only Print Print Manager Link

(1 version)
Apr 28 2011 onwards

RPP 3-2-25

Whole 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.

On-site visits provide the DFSAG with an overview of the Authorised Firm'sG operations and enable it to form a first-hand view of the personnel, systems and controls and compliance culture within the Authorised FirmG as well as identifying and evaluating the risks to the DFSA'sG objectives, taking into account any mitigation by the Authorised FirmG . They enable the DFSAG to test the soundness of the Authorised Firm'sG systems and controls and the extent to which the DFSAG can continue to rely on them and the Authorised Firm'sG senior management to prevent or mitigate risks to the DFSA'sG objectives. On-site visits will also assist the DFSAG to assess the extent of supervision and the use of other supervisory tools required to address certain key risk areas.

Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]