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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
(3 versions)
 

RPP 4-2-1



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.

In order to supervise the conduct and activities of an Authorised PersonG , DNFBPG , Domestic FundG , Registered AuditorG or any director, officer, employee or agent of such person, the DFSA requires access to a broad range of information relating to a Person'sG business. Such information is usually provided to the DFSA on a voluntary basis. In particular, Authorised PersonsG , Authorised IndividualsG and DNFBPsG are expected to deal with the DFSA in an open and cooperative manner and disclose to the DFSA any information of which the DFSA would reasonably expect to be notified.

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 Amended (Made 21st August 2014). August 2014 Edition