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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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  • PIB 6.3.1 Guidance

    1. An Authorised Firm should record all Operational Risk events, including near misses and events which result in a positive financial outcome.
    2. These Rules complement related Rules in GEN section 5.3 relating to risk management systems and controls. For example, GEN Rule 5.3.6 requires an Authorised Firm to appoint an individual to advise its Governing Body and senior management as to risks.
    Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]