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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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  • Risk management

    • GEN 5.3.4

      An Authorised PersonG must establish and maintain risk management systems and controls to enable it to identify, assess, mitigate, control and monitor its risks.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]

    • GEN 5.3.5

      An Authorised PersonG must develop, implement and maintain policies and procedures to manage the risks to which the Authorised PersonG and where applicable, its customers or users, are exposed.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]

    • GEN 5.3.6

      (1) An Authorised PersonG must appoint an individual to advise its Governing BodyG and senior management of such risks.
      (2) An Authorised PersonG which is part of a GroupG should be aware of the implications of any GroupG wide risk policy and systems and controls regime.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]