Entire Section

  • RPP 5-18 RPP 5-18 Maintenance of Registers

    • RPP 5-18-1

      The DFSA is also required to publish and maintain a register43 of:

      (a) grants, withdrawals and suspensions of Licences, Licence endorsements and authorisations of Authorised Persons, Authorised Individuals and Key Individuals;
      (b) all Persons who are the subject of action taken under Article 58(1) and Article 59;
      (c) current and past registrations of DNFBPs; and
      (d) current and past registrations, withdrawals and suspensions of registrations of Registered Auditors and Audit Principals.

      43 Article 62.

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

    • RPP 5-18-2

      The DFSA is not required to publish information on the Register about temporary suspensions imposed under Article 58(5) or Article 98A(5).32 See 5-17-17 for the DFSA's general policy regarding publicising such suspensions.

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