RPP 3-2-6

Past version: effective from 28/04/2011 - 04/07/2012
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An Authorised Firm is expected to provide information as required or reasonably requested under legislation applicable in the DIFC relating to the Authorised Firm and, where applicable, its consolidated or lead regulatory arrangements. This information may include prudential information, reports on systems and controls relating to an Authorised Firm's Group, internal and external audit reports, details of disciplinary proceedings or any matters which may have financial consequences, reputational impact or pose any significant risk to the DIFC or to the Authorised Firm. This information may initially be taken into account as part of DFSA's fit and proper test as set out in AUT and may subsequently be utilised in the supervision of the Authorised Firm. Further Rules and Guidance with regard to obtaining information from an Authorised Firm's lead regulator are set out in GEN Rule 11.1.6.

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