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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
      • International Assessment
      • Corporate Social Responsibility
    • Our structure
      • Board of Directors
      • Executive Team
      • Financial Markets Tribunal
    • DFSA Journey
  • Laws & rules
    • Legal Resources
      • Legislation
      • Consultation Papers
      • Policy Statements
      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
    • AML, CTF & Sanctions Compliance
      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
      • Disclosure Database
      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
    • Enforcement
      • About Enforcement
      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
    • Policy, Strategy and Risk
    • Recognition
      • About Recognition
      • Recognised Bodies
      • Recognised Members
    • Supervision
      • About Supervision
      • Audit Supervision
      • Cyber Risk Supervision
      • Insurance Supervision
      • Operational & Technology Risk Supervision
  • Public register
  • Resources
    • Consumer
      • Investment Guide
      • Complaints
    • Regulatory
      • Consultation Papers
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      • Laws and Rules
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      • Guides & Handbooks
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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
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          • Regulatory Policy and Process Sourcebook (RPP) December 2012 Edition
            • RPP 1 Introduction
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              • RPP 3-1 DFSA's Approach to Supervision
              • RPP 3-2 Supervision of Authorised Firms
                • Introduction
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                  • RPP 3-2-33
                  • RPP 3-2-34 [Deleted]
                  • RPP 3-2-35 [Deleted]
                  • RPP 3-2-36 [Deleted]
                • DFSA approval
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              • RPP 3-3 Supervision of Representative Offices
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            • Appendix 1 DFSA's Regulatory Powers
          • Regulatory Policy and Process Sourcebook (RPP) August 2014 Edition
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  1. Dubai Financial Services Authority (DFSA)
  2. Sourcebook Modules
  3. Archive
  4. Regulatory Policy and Process Sourcebook (RPP)
  5. Regulatory Policy and Process Sourcebook (RPP) December 2012 Edition
  6. RPP 3 Supervision — Being Regulated
  7. RPP 3-2 Supervision of Authorised Firms
  8. Requirements relating to a Change in Control
  9. RPP 3-2-34 [Deleted]
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  Versions

 
  • Apr 28 2011 - Dec 22 2012
  • Dec 23 2012
‹ RPP 3-2-33 RPP 3-2-35 [Deleted] ›

RPP 3-2-34

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

Where the DFSA requires further information in relation to a notification made in accordance with GEN Rule 11.8.5, it may seek to request such information within a reasonable period of time of receipt of the original notification.

Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
‹ RPP 3-2-33 RPP 3-2-35 [Deleted] ›
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