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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(3 versions)

GEN 8.4.4 Guidance

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.

1. An Authorised PersonG should consider whether there is any financial or personal relationship between it or any of its relevant EmployeesG and the AuditorG or any of the relevant EmployeesG of the AuditorG that may affect the judgement of the AuditorG when conducting an audit of the Authorised PersonG or complying with all its legal obligations, including the Regulatory LawG , AUDG , AMLG and other relevant modules of the DFSAG Rulebook.
2. An Authorised PersonG should consider rotating the appointed relevant staff of the AuditorG on a regular basis to ensure that the relevant staff of the AuditorG remain independent.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
Amended DFSA RM131/2014 (Made 21st August 2014). [VER34/06-14]