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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • GEN 7.5.1

    (1) An Authorised Firm must, subject to (2), make the following appointments and ensure that they are held by one or more Authorised Individuals at all times:
    (a) Senior Executive Officer;
    (b) Finance Officer;
    (c) Compliance Officer; and
    (d) Money Laundering Reporting Officer.
    (2) An Authorised Firm which is a Credit Rating Agency:
    (a) need not make the appointment referred to in (1)(b) and (d); and
    (b) must ensure that the appointments referred to in 1(a) and (c) are held by separate Authorised Individuals at all times.
    Derived from Notice of Amendments to Legislation April 2011 [VER27/02-11]
    [Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]