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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • GEN 8.6.3

    (1) An Authorised PersonG must, subject to (2), upon request by any PersonG , provide a copy of its most recent audited financial statements, together with the Financial Statement Auditor's ReportG to the PersonG . If the copy is made available in printed form, the Authorised PersonG may make a charge to cover reasonable costs incurred in providing the copy.
    (2) The requirement in (1) does not apply to an Authorised FirmG which:
    (a) is in Category 3B, Category 3C or Category 4; and
    (b) does not hold or control Client AssetsG or Insurance MoniesG .

    Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
    [Amended] DFSA RM131/2014 (Made 21st August 2014). [VER34/06-14]

    • GEN 8.6.3 Guidance

      An Authorised PersonG should be aware that there may be other legislation applicable to it that may require the Authorised PersonG to provide access to all or part of its financial statements.

      [Added] DFSA RM131/2014 (Made 21st August 2014). [VER34/06-14]