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GEN 5.4.1

In this section:

(a) “money laundering” has the meaning given in Article 70(2)(b) of the Regulatory Law;
(b) “regulatory concern”, in relation to an Authorised Person, means a concern held by any person that the Authorised Person, an officer or employee of the Authorised Person, an Affiliate of the Authorised Person or an officer or employee of an Affiliate of the Authorised Person has or may have:
(i) contravened a provision of legislation administered by the DFSA; or
(ii) engaged in money laundering, fraud or any other financial crime;
(c) “whistleblower” means a person who reports a regulatory concern to a person specified in Article 68A(3) of the Regulatory Law.

 

Derived from DFSA RMI318/2021 (Made 27th October 2021). [VER54/04-22]