Chapter 3 focuses on the
DFSA'srisk-based approach to supervision and the ongoing relationship between the DFSAand an Authorised Person, Ancillary Service Provideror Auditor(collectively referred to as firms in this Chapter unless otherwise stated).
Whilst section 3.1 outlines the
DFSA'sgeneral approach to risk based supervision, the remaining sections (3.2 to 3.6) provide additional information in relation to the DFSA'sapproach to the supervision of a particular type of firm.Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]