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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 4-8-2



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 may exercise this power in circumstances including, but not limited to, the following:

(a) where the Authorised IndividualG or Key IndividualG has not acted effectively or responsibly or has not exercised the expected level of skill, care and diligence in carrying out the Licensed FunctionG ;
(b) where the conduct of the Authorised IndividualG or Key IndividualG falls below the standards expected; or
(c) where the DFSAG has some concern about the fitness and propriety of the Authorised IndividualG or Key IndividualG , but not such as to warrant the suspension or withdrawal of an Authorised IndividualG or Key Individual'sG status.
Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition
Amended (Made 21st August 2014). August 2014 Edition