There are a variety of circumstances where the DFSA may consider it appropriate to require the production of a report. These circumstances include, but are not limited to:
(a) where the DFSA has concerns as to the adequacy of systems and controls (such as compliance, internal audit, anti money laundering, risk management and record keeping);
(b) where the DFSA seeks verification of information submitted to it; or
(c) where remedial action is required to ensure the
Authorised Person complies with DFSA Laws and Rules.
Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition