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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
(2 versions)
 
Dec 23 2012 - Aug 20 2014Aug 21 2014 onwards

RPP 4-5-1



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.

The DFSAG has a power under Article 75 to impose prohibitions or restrictions on an Authorised Person'sG business. This includes prohibiting an Authorised PersonG from entering into specific types of transactions, from soliciting business from specific types of persons or from carrying on business in a specific manner. The DFSA may also require an Authorised PersonG to carry on business in, and only in, a specified manner. The DFSAG may also prohibit an Authorised PersonG from using a particular name or description.2


2 Article 75(1)(a)(iv).

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