Entire Section
Introduction
RPP 3-1-1
Chapter 3 focuses on the
DFSA's risk-based approach to supervision and the ongoing relationship between theDFSA and anAuthorised Person ,Ancillary Service Provider orAuditor (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 EditionRPP 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 theDFSA'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 theDFSA 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]