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GEN 5.3.1

(1) An Authorised Person must establish and maintain systems and controls, including but not limited to financial and risk systems and controls, that ensure that its affairs are managed effectively and responsibly by its senior management.
(2) An Authorised Person must undertake regular reviews of its systems and controls.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM43/2007 (Made 1st June 2007). [VER14/06-07]