GEN 5.3.11

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Jul 13 2013
Jul 14 2013

An Authorised Person must establish and maintain monitoring and reporting processes and procedures to ensure that any compliance breaches are readily identified, reported and promptly acted upon.

Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]