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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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GEN 8.4.4 Guidance



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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.

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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]