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AML 15.3A.2

(1) A DNFBP must have appropriate and effective policies and procedures in place:
(a) to facilitate the reporting of regulatory concerns made by whistleblowers; and
(b) to assess and, where appropriate, escalate regulatory concerns reported to it.
(2) The policies and procedures required under (1) must be in writing.
(3) A DNFBP must periodically review the policies and procedures to ensure they are appropriate, effective and up to date.

 

Derived from DFSA RMI321/2021 (Made 27th October 2021). [VER19/04-22]