Entire Section

  • Co-Operation with Other Regulators

    • RPP 3-1-10

      The DFSA views co-operation with other regulators as an important component of its supervisory activities. Effective co-operation arrangements with other regulators will provide for prompt exchange of information in relation to supervision, investigation and enforcement matters. Usually, co-operation arrangements will be in the form of memoranda of understanding or other arrangements. The information exchange may enhance, for example, the DFSA's understanding of the operations of an Authorised Firm's Group and the effect on the firm.

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

    • RPP 3-1-11

      The DFSA may exercise its powers for the purposes of assisting other regulators or agencies (see Article 39 of the Regulatory Law 2004). The DFSA may also delegate functions and power to representatives of other regulators or agencies (see Article 40 of the Regulatory Law 2004).

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