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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Markets Rules (MKT) [VER15/07-19]
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  • Termination of Compliance Adviser

    • MKT 7.2.9

      Where a Reporting EntityG dismisses its compliance adviser, the Reporting EntityG must advise the DFSAG in writing without delay of the dismissal, giving details of all relevant facts and circumstances.

      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

    • MKT 7.2.10

      Where a compliance adviser resigns, the Reporting EntityG must without delay advise the DFSAG in writing of the resignation, giving details of all relevant facts and circumstances.

      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]