Entire Section

  • GEN 8.6.3 GEN 8.6.3

    (1) An Authorised Person must, subject to (2), upon request by any Person, provide a copy of its most recent audited financial statements, together with the Financial Statement Auditor's Report to the Person. If the copy is made available in printed form, the Authorised Person may make a charge to cover reasonable costs incurred in providing the copy.
    (2) The requirement in (1) does not apply to an Authorised Firm which:
    (a) is in Category 3B, Category 3C or Category 4; and
    (b) does not hold or control Client Assets or Insurance Monies.

    Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
    [Amended] DFSA RM131/2014 (Made 21st August 2014). [VER34/06-14]

    • GEN 8.6.3 Guidance

      An Authorised Person should be aware that there may be other legislation applicable to it that may require the Authorised Person to provide access to all or part of its financial statements.

      [Added] DFSA RM131/2014 (Made 21st August 2014). [VER34/06-14]