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GEN 5.4.2

(1) An Authorised Person must have appropriate and effective policies and procedures in place:
(a) to facilitate the reporting of regulatory concerns 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) An Authorised Person must periodically review the policies and procedures to ensure they are appropriate, effective and up to date.

 

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