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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
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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  • AML 1.2 Responsibility for compliance with this module

    • AML 1.2.1

      (1) Responsibility for a Relevant Person'sG compliance with this module lies with every member of its senior management.
      (2) In carrying out their responsibilities under this module every member of a Relevant Person'sG senior management must exercise due skill, care and diligence.
      (3) Nothing in this Rule precludes the DFSAG from taking enforcement action against any person including any one or more of the following persons in respect of a breach of any Rule in this module:
      (a) a Relevant PersonG ;
      (b) members of a Relevant Person'sG senior management; or
      (c) an EmployeeG of a Relevant PersonG .
      Derived from RM117/2013 [VER9/07-13]