GEN 5.3.20

Past version: effective from 14/07/2013 - 31/01/2017
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An Authorised Person must establish and maintain systems and controls that ensure, as far as reasonably practical, that the Authorised Person and its Employees do not engage in conduct, or facilitate others to engage in conduct, which may constitute:

(a) market misconduct; or
(b) a financial crime under any applicable U.A.E. laws.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]