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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER16/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • AML 11.2.4

    A Relevant Person'sG MLROG must deal with the DFSAG in an open and co-operative manner and must disclose appropriately any information of which the DFSA would reasonably be expected to be notified.

    Derived from RM117/2013 [VER9/07-13]

    • AML 11.2.4 Guidance

      1. The individual appointed as the deputy MLROG of an Authorised FirmG need not apply for Authorised IndividualG status for performing the Licensed FunctionG of Money Laundering Reporting OfficerG , subject to Rules in GEN section 11.6.
      2. A Relevant PersonG other than an Authorised FirmG should make adequate arrangements to ensure that it remains in compliance with this module in the event that its MLROG is absent. Adequate arrangementsG would include appointing a temporary MLROG for the period of the MLRO'sG absence or making sure that the Relevant Person'sG AML systems and controls allow it to continue to comply with these Rules when the MLROG is absent.
      Derived from RM117/2013 [VER9/07-13]