Entire Section

  • Introduction

    • RPP 3-1-1

      Chapter 3 focuses on the DFSA's risk-based approach to supervision and the ongoing relationship between the DFSA and an Authorised Person, Ancillary Service Provider or Auditor (collectively referred to as firms in this Chapter unless otherwise stated).

      Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
      Amended by Notice of Updates (Made 5th July 2012). July 2012 Edition

    • RPP 3-1-2

      Whilst section 3.1 outlines the DFSA's general approach to risk based supervision, the remaining sections (3.2 to 3.6) provide additional information in relation to the DFSA's approach to the supervision of a particular type of firm.

      Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]

    • RPP 3-1-3

      The appropriate use of the DFSA's supervisory powers plays an important part in ensuring that the DFSA achieves its statutory objectives and has regard to its guiding principles which are set out in chapter 1.

      Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]