Entire Section

  • GEN 11.1 GEN 11.1 Information gathering and DFSA access to information

    • GEN 11.1.2

      An Authorised Person must where reasonable:

      (a) give or procure the giving of specified information, documents, files, tapes, computer data or other material in the Authorised Person's possession or control to the DFSA;
      (b) make its Employees readily available for meetings with the DFSA;
      (c) give the DFSA access to any information, documents, records, files, tapes, computer data or systems, which are within the Authorised Person's possession or control and provide any facilities to the DFSA;
      (d) permit the DFSA to copy documents or other material on the premises of the Authorised Person at the Authorised Person's expense;
      (e) provide any copies as requested by the DFSA; and
      (f) answer truthfully, fully and promptly, all questions which are put to it by the DFSA.

    • GEN 11.1.4

      An Authorised Person must take reasonable steps to ascertain if there is any secrecy or data protection legislation that would restrict access by the Authorised Person or the DFSA to any data required to be recorded under the DFSA's Rules. Where such legislation exists, the Authorised Person must keep copies of relevant documents or material in a jurisdiction which does allow access in accordance with legislation applicable in the DIFC.

    • Lead regulation

      • GEN 11.1.5

        (1) If requested by the DFSA, an Authorised Person must provide the DFSA with information that the Authorised Person or its auditor has provided to a Financial Services Regulator.
        (2) If requested by the DFSA, an Authorised Person must take reasonable steps to provide the DFSA with information that other members of the Authorised Person's Group have provided to a Financial Services Regulator.