RPP 3 Supervision — Being Regulated
- RPP 3-1 DFSA's Approach to Supervision
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RPP 3-2 Supervision of Authorised Firms
- Introduction
- Group Supervision
- Domestic Firm's Group With DIFC Head Office
- Subsidiary of a Non-DIFC Firm
- Branch of a Non-DIFC Firm
- Prudential Returns for Authorised Firms
- Ongoing Risk Analysis
- Review of Risk Management Systems
- Desk Based Reviews
- On-Site Visits
- Periodic Communications
- External Auditor Reports, Statements and Tripartite Meetings
- Requiring Information and Documents
- Requirements relating to a Change in Control
- DFSA approval
- Application for a Change of Scope of Licence
- Application for a Withdrawal of Licence
- Notification to the DFSA Relating to a Major Acquisition
- Outsourcing
- RPP 3-3 Supervision of Representative Offices
- RPP 3-4 Supervision of Ancillary Service Providers
- RPP 3-5 Supervision of Auditors
- RPP 3-6 Supervision of Authorised Market Institutions