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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
      • International Assessment
      • Corporate Social Responsibility
    • Our structure
      • Board of Directors
      • Executive Team
      • Financial Markets Tribunal
    • DFSA Journey
  • Laws & rules
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      • Legislation
      • Consultation Papers
      • Policy Statements
      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
    • AML, CTF & Sanctions Compliance
      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
      • Disclosure Database
      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
    • Enforcement
      • About Enforcement
      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
    • Policy, Strategy and Risk
    • Recognition
      • About Recognition
      • Recognised Bodies
      • Recognised Members
    • Supervision
      • About Supervision
      • Audit Supervision
      • Cyber Risk Supervision
      • Insurance Supervision
      • Operational & Technology Risk Supervision
  • Public register
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    • Consumer
      • Investment Guide
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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
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    • Rulebook Modules
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      • Application Forms and Notices Module (AFN) [VER51/01-20]
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      • Regulatory Policy and Process Sourcebook (RPP) April 2022 Edition
        • RPP 1 Introduction
        • RPP 2 Authorisation — Becoming Regulated
        • RPP 3 Supervision — Being Regulated
          • RPP 3-1 DFSA's Approach to Supervision
          • RPP 3-2 Supervision of Authorised Firms
          • RPP 3-3 Supervision of Representative Offices
          • RPP 3-4 Supervision of DNFBPs
            • RPP 3-4-1
            • RPP 3-4-2
            • RPP 3-4-3
            • RPP 3-4-4
          • RPP 3-5 Supervision of Registered Auditors
          • RPP 3-6 Supervision of Authorised Market Institutions
          • RPP 3-7 Business Transfer Schemes
        • RPP 4 Supervisory and Enforcement Powers
        • RPP 5 Enforcement
        • RPP 6 Penalty Guidance
        • RPP 7 Decision Making
        • RPP 8 Confidential Regulatory Information
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        • Appendix 1 [Deleted]
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  1. Dubai Financial Services Authority (DFSA)
  2. Sourcebook Modules
  3. Regulatory Policy and Process Sourcebook (RPP) April 2022 Edition
  4. RPP 3 Supervision — Being Regulated
  5. RPP 3-4 Supervision of DNFBPs
  6. RPP 3-4-4
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  Versions

 
  • Apr 28 2011 - Jul 13 2013
  • Jul 14 2013
‹ RPP 3-4-3 RPP 3-5 Supervision of Registered Auditors ›

RPP 3-4-4

The DFSA will also receive an Annual AML Return from a DNFBP (see AML Rule 14.5.1) which will assist the DFSA in its supervision of DNFBPs.

Derived from DFSA GM8/2011 (Made 28th April 2011). [VER 1/02-11]
Amended by Notice of Updates (Made 14th July 2013). July 2013 Edition
‹ RPP 3-4-3 RPP 3-5 Supervision of Registered Auditors ›
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