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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Auditor Module (AUD) [VER3/02-17]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Aug 21 2014 onwards

AUD 4 General Obligations

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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.

AUD 4.1 Application
AUD 4.1.1
AUD 4.2 Employees' suitability and continuing professional development
AUD 4.2.1
AUD 4.3 Professional indemnity insurance
AUD 4.3.1
AUD 4.3.2
AUD 4.3.3
AUD 4.3.4
AUD 4.4 Working Papers
AUD 4.4.1
AUD 4.4.2
AUD 4.4.3
AUD 4.5 Records
AUD 4.5.1
AUD 4.6 Notification of changes and events
AUD 4.6 Guidance
Changes in core information
Events having a regulatory impact
Action by other regulators
AUD 4.7 Communication with the DFSA
AUD 4.7.1
AUD 4.8 Annual information return
AUD 4.8.1
AUD 4.9 Anti-Money Laundering
AUD 4.9 Guidance
AUD 4.10 Disclosure of regulatory status
AUD 4.10.1