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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Part 3 Licensing Requirements
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
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  • Senior Executive Officer

    • AMI 5.3.4

      The Senior Executive OfficerG function is carried out by an individual who:

      (a) has, either alone or jointly with the other Key IndividualsG , the ultimate responsibility for the day-to-day management, supervision and control of one or more (or all) parts of an Authorised Market Institution'sG Financial ServicesG carried on in or from the DIFCG ; and
      (b) is either a member of the Governing BodyG or a Senior ManagerG of the Authorised Market InstitutionG .
      Derived from RM118/2013 [VER15/07-13]
      [Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]