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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 4 Supervisory and Enforcement Powers
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  Versions
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RPP 4-1-1



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.

This chapter provides information on how the DFSA will generally exercise its powers when conducting supervisory or enforcement activities. These powers can be exercised in respect of any PersonsG , including an Authorised PersonG , DNFBPG or Registered AuditorG (collectively referred to as "firms" in this chapter unless otherwise stated), an Authorised IndividualG , Key IndividualG , Audit PrincipalG or Principal RepresentativeG .

Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition
Amended by Notice of Updates (Made 14th July 2013). July 2013 Edition
Amended (Made 21st August 2014). August 2014 Edition