Dubai Financial Services Authority

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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Sourcebook Modules

Application Forms and Notices Module (AFN) [VER48/08-19]

Code of Market Conduct (CMC) [VER3/08-17]

Prudential Returns Module (PRU) [VER5/02-19]

Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition

RPP 1 Introduction

RPP 2 Authorisation — Becoming Regulated

RPP 3 Supervision — Being Regulated

RPP 4 Supervisory and Enforcement Powers

RPP 4-1 Introduction

RPP 4-2 Power to Request Information and Documents

RPP 4-3 Power to Access Premises

RPP 4-4 Power to Require a Report

RPP 4-5 Power to Restrict an Authorised Person's Business or Property

RPP 4-6 Power to Impose Conditions and Restrictions on an Authorised Person's Licence or Endorsement

RPP 4-7 Power to Withdraw an Authorisation or Endorsement in Respect of One or More Financial Services or a Licence

RPP 4-8 Power to Impose Conditions and Restrictions on the Status of an Authorised Individual or Key Individual

RPP 4-9 Power to Restrict, Suspend and Withdraw the Status of an Authorised Individual or Key Individual

RPP 4-9-3

RPP 4-10 Power to Restrict Individuals

RPP 4-11 Powers Relating to the Registration of a Registered Auditor or Audit Principal

RPP 4-12 Miscellaneous Powers

RPP 4-13 [Deleted]

Appendix 1 — Key Powers

RPP 5 Enforcement

RPP 6 Penalty Guidance

RPP 7 Decision Making

RPP 8 Confidential Regulatory Information

RPP 9 Waivers and Modifications

RPP 10 Permissible Company and Trading Names for Entities Established in the DIFC

Appendix 1 [Deleted]

Notices of Updates

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Location: Dubai Financial Services Authority (DFSA) > Sourcebook Modules > Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition > RPP 4 Supervisory and Enforcement Powers > RPP 4-9 Power to Restrict, Suspend and Withdraw the Status of an Authorised Individual or Key Individual > RPP 4-9-3

Versions
(2 versions)

Dec 23 2012 - Aug 20 2014

Aug 21 2014 onwards

RPP 4-9-3

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 DFSA^G may also withdraw the Authorised Individual^G or Key Individual^G status of an individual under Article 58(2) if:

(a) the individual becomes bankrupt;

(b) the individual is convicted of a serious criminal offence;

(c) the individual becomes incapable, through mental or physical incapacity, of managing his affairs;

(d) the individual or the relevant Authorised Person^G asks the DFSA^G to withdraw the relevant status; or

(e) the Licence^G of the relevant Authorised Person^G is withdrawn.

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