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Location: Dubai Financial Services Authority (DFSA) > Sourcebook Modules > Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition > RPP 6 Penalty Guidance
RPP Appendix 1 — The Enforcement Process RPP 6-1 DFSA's Approach to Imposing a Penalty
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(2 versions)
  
Dec 23 2012 - Aug 20 2014Aug 21 2014 onwards

RPP 6 Penalty 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.


Contents:
RPP 6-1 DFSA's Approach to Imposing a Penalty
RPP 6-1-1
RPP 6-1-2
RPP 6-1-3
RPP 6-2 Deciding to Take Action
RPP 6-2-1
Actions against Key Persons
RPP 6-2-3 [Deleted]
RPP 6-3 Financial Penalty or Public Censure
RPP 6-3-1
RPP 6-3-2
RPP 6-3-3
RPP 6-3-4 [Deleted]
RPP 6-4 Determining the Appropriate Level of Financial Penalty
RPP 6-4-1
RPP 6-4-2
RPP 6-4-3
RPP 6-4-4
RPP 6-4-5
[Deleted]
[Deleted]
[Deleted]
[Deleted]
[Deleted]
RPP 6-5 Financial Penalties Imposed on a Firm
Step 1: Disgorgement
Step 2: The seriousness of the contravention
Step 3: Mitigating and aggravating factors
Step 4: Adjustment for deterrence
Step 5: Settlement discount
[Deleted]
[Deleted]
RPP 6-6 Financial Penalties Imposed on an Individual
Step 1: Disgorgement
Step 2: The seriousness of the contravention
Step 3: Mitigating and aggravating factors
Step 4: Adjustment for deterrence
Step 5: Settlement discount
RPP 6-7 Serious Financial Hardship
RPP 6-7-1
RPP 6-7-2
RPP 6-7-3
Individuals
Firms
Withdrawal of authorisation or registration
RPP 6-8 Discount for Early Settlement
RPP 6-8-1
RPP 6-8-2

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