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(2 versions)
Apr 28 2011 - Feb 14 2015Feb 15 2015 onwards

RPP 3-3-2

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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.

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

Onsite visits to Representative OfficesG are likely to focus on issues including:

(a) confirming that activities undertaken by the Representative OfficeG are allowed under its licence;
(b) reviewing the adequacy of its systems and controls to comply with its AMLG responsibilities;
(c) reviewing the material distributed by the Representative OfficeG to ensure it is clear, fair and not misleading;
(d) any solvency concerns with the head office or GroupG ; and
(e) the firm's disclosure of its regulated status.
Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
Amended by Notice of Updates (Made 11th February 2015). February 2015 Edition