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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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(1 version)
Jul 5 2012 onwards

REC 3.4.4

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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.

To view past versions of this module in PDF format, please visit the Archive.

Notwithstanding Rules 3.4.1 to 3.4.3, a Recognised PersonG must notify the DFSA as soon as possible of:

(a) anything which causes or may cause it to fail to satisfy the Recognition CriteriaG ;
(b) it becoming aware that a Financial Services RegulatorG has started an investigation into the affairs of the Recognised PersonG ;
(c) the appointment of inspectors, howsoever named, by a Financial Services RegulatorG to investigate or manage the affairs of the Recognised PersonG ;
(d) the imposition of disciplinary measures or disciplinary sanctions on the Recognised PersonG by any Financial Services RegulatorG ; or
(e) any significant event or anything else relating to the Recognised PersonG of which the DFSA would reasonably expect to be notified.
Derived from DFSA RM90/2012 (Made 14th June 2012). [VER7/06-12]