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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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(1 version)
Aug 21 2014 onwards

AUD A1.1.2

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.

In producing a Regulatory Returns Auditor's ReportG for a BranchG , an AuditorG must state whether;

(a) the Authorised Person'sG regulatory returns have been properly reconciled with the Branch'sG financial statements; and
(b) in the case of an Authorised FirmG ;
(i) the regulatory returns specified in PING or PIBG have been properly prepared by the Authorised FirmG in accordance with the applicable rules in PIBG or PING ; and
(ii) the Authorised FirmG has kept proper Accounting RecordsG in accordance with the applicable Rules in PIBG or PING .
Derived from DFSA RM130/2014 (Made 21st August 2014). [VER1/06-14]