Entire Section

  • External Auditor Reports, Statements and Tripartite Meetings

    • RPP 3-2-31

      The DFSA requires an Authorised Firm's registered external auditor to co-operate with the DFSA in a number of ways, including the submission of specific audit reports and statements. As part of an audit, the DFSA would expect an auditor to review any relevant correspondence between the DFSA and the Authorised Firm. Further, tripartite meetings between the Authorised Firm's senior management, the auditor, and the DFSA may be requested at the DFSA's initiative. Finally, an auditor is required to disclose to the DFSA those matters outlined in Article 104(3) of the Regulatory Law 2004.

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