RPP 3-2-3

An Authorised Firm, other than a Representative Office, must comply with the twelve principles set out in section 4.2 of the GEN module. In brief, these are:

(a) Principle 1 — Integrity;
(b) Principle 2 — Due skill, care and diligence;
(c) Principle 3 — Management, systems and controls;
(d) Principle 4 — Resources;
(e) Principle 5 — Market Conduct;
(f) Principle 6 — Information and Interests;
(g) Principle 7 — Conflicts of Interest;
(h) Principle 8 — Suitability;
(i) Principle 9 — Customer assets and money;
(j) Principle 10 — Relations with regulators;
(k) Principle 11 — Compliance with high standards of corporate governance; and
(l) Principle 12 — Remuneration practices.
Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
Amended by Notice of Updates (Made 5th July 2012). July 2012 Edition