RPP 3 Supervision — Being Regulated
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RPP 3-1 DFSA's Approach to Supervision
- Introduction
- Supervision Philosophy
- Risk management cycle
- Risk Matrix — Impact and Probability Ratings
- Risk-based classification of firms
- Risk mitigation
- DFSA's Relationship with Firms
- Notifications to the DFSA
- Co-Operation with Other Regulators
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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
- Periodic Returns for Authorised Firms
- On-going 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
- Notification to the DFSA relating to a Major Acquisition
- Outsourcing
- Application for a Withdrawal of Licence
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- RPP 3-3 Supervision of Representative Offices
- RPP 3-4 Supervision of DNFBPs
- RPP 3-5 Supervision of Registered Auditors
- RPP 3-6 Supervision of Authorised Market Institutions
- RPP 3-7 Business Transfer Schemes