Entire Section

  • Disclosure of Settled Enforcement Actions

    • RPP 5-17-15

      The DFSA expects to disclose publicly the outcome of any settlement of an enforcement action, including the notice of decision or EU, to ensure all stakeholders and the general public are clearly informed as to the outcome. Settlement agreements which result in a notice of decision or EU will result in the publication of the relevant notice of decision or EU on the DFSA website as well as an associated press release.

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

    • RPP 5-17-16

      The DFSA may be ordered, or required by law, not to publish information regarding a settlement. For example, disclosure may not occur if a third party has commenced proceedings in the courts in respect of the same conduct and the publication of the undertaking or settlement may prejudice that party's case in the courts. However, simply because a third party has commenced proceedings does not preclude the DFSA from publishing its settlements, including the notice of decision or EU.

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