RPP 3-2-20

The risk assessment process is ongoing and it is expected that the risks of each Authorised Firm may be reviewed on at least an annual basis. Notifications, reporting of information, an on-going dialogue with senior management and visits to the Authorised Firm will ensure that the DFSA has current information on key risk areas of the Authorised Firm.

Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]