Entire Section

  • Investigation Determination

    • RPP 5-4-3

      Article 78 empowers the DFSA to conduct such investigations as it considers appropriate and expedient:

      (a) where it has reason to suspect that a contravention of the Law or the Rules is being or may have been committed; or
      (b) further to a request for assistance made under Article 39.
      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-4-4

      Whether an investigation of a matter is appropriate and expedient is determined by reference to factors such as those set out in paragraph 5-4-2.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-4-5

      Whether the DFSA has "reason to suspect" a contravention of the Law is a question which the DFSA will determine on the facts and circumstances, available at the time, of the determination.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-4-6

      While the DFSA is not bound to disclose, to any party, that an investigation has commenced or is on-going or the basis upon which an investigation is commenced, it may notify a Person who is the subject of an investigation that an investigation has commenced, and the nature of the investigation.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-4-7

      The DFSA will not make a notification referred to in 5-4-6 if to do so is likely to compromise or prejudice the investigation. The DFSA will not advise a Person of the conclusion of an investigation unless the Person has earlier been notified of its commencement.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-4-8

      The decision to commence an investigation is not a decision that can be referred to the Financial Markets Tribunal for review.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition