GEN 11.1 GEN 11.1 Information gathering and DFSA access to information
This section applies to an
Authorised Personother than a Representative Officewith respect to the carrying on of all of its activities.
Authorised Personmust where reasonable:(a) give or procure the giving of specified information, documents, files, tapes, computer data or other material in the Authorised Person'spossession or control to the DFSA;(b) make its Employeesreadily available for meetings with the DFSA;(c) give the DFSAaccess to any information, documents, records, files, tapes, computer data or systems, which are within the Authorised Person'spossession or control and provide any facilities to the DFSA;(d) permit the DFSAto copy documents or other material on the premises of the Authorised Personat the Authorised Person'sexpense;(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.
Authorised Personmust take reasonable steps to ensure that its Employeesact in the manner set out in this chapter.
Authorised Personmust take reasonable steps to ascertain if there is any secrecy or data protection legislation that would restrict access by the Authorised Personor the DFSAto any data required to be recorded under the DFSA's Rules. Where such legislation exists, the Authorised Personmust keep copies of relevant documents or material in a jurisdiction which does allow access in accordance with legislation applicable in the DIFC.
GEN 11.1.5(1) If requested by the
DFSA, an Authorised Personmust provide the DFSAwith information that the Authorised Personor its auditor has provided to a Financial Services Regulator.(2) If requested by the DFSA, an Authorised Personmust take reasonable steps to provide the DFSAwith information that other members of the Authorised Person's Grouphave provided to a Financial Services Regulator.