RPP 3-1-42

Past version: effective from 28/04/2011 - 22/12/2012
To view other versions open the versions tab on the right

An Authorised Firm and Authorised Market Institution is required to comply with the high level principles in GEN Rule 4.2.10 and AMI Rule 10.2.1 respectively. These Rules require an Authorised Person to deal with the DFSA in an open and co-operative manner and keep the DFSA promptly informed of significant events or anything else relating to such person of which the DFSA would reasonably expect to be notified.

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