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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
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • Compliance Officer

    • AMI 5.3.6

      The Compliance OfficerG function is carried out by an individual who:

      (a) has the overall responsibility for the Authorised Market Institution'sG compliance with the Licensing RequirementsG and other applicable requirements in carrying out Financial ServicesG ; and
      (b) is either a MemberG of the Governing BodyG or a Senior ManagerG of the Authorised Market InstitutionG .
      Derived from RM118/2013 [VER15/07-13]