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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
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

Whole SectionText only Print Print Manager Link

(2 versions)
Apr 28 2011 - Aug 20 2014Aug 21 2014 onwards

RPP 3-2-31

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.

The DFSAG requires an Authorised Firm'sG registered external auditor to co-operate with the DFSAG in a number of ways, including the submission of specific audit reports and statements. As part of an audit, the DFSAG would expect an auditor to review any relevant correspondence between the DFSAG and the Authorised FirmG . Further, tripartite meetings between the Authorised Firm'sG senior management, the auditor, and the DFSAG may be requested at the DFSA'sG initiative. Finally, an auditor is required to disclose to the DFSAG those matters outlined in Article 104(3) of the Regulatory LawG .

Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
Amended (Made 21st August 2014). August 2014 Edition