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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
      • International Assessment
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    • Our structure
      • Board of Directors
      • Executive Team
      • Financial Markets Tribunal
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    • 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
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      • Knowledge Base
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    • International Relations
      • How We Regulate
      • International Assessment
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      • Recognised Members
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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]
      • Code of Market Conduct (CMC) [VER3/08-17]
      • Prudential Returns Module (PRU) [VER5/02-19]
      • Regulatory Policy and Process Sourcebook (RPP) April 2022 Edition
        • RPP 1 Introduction
        • RPP 2 Authorisation — Becoming Regulated
        • RPP 3 Supervision — Being Regulated
        • RPP 4 Supervisory and Enforcement Powers
          • RPP 4-1 Introduction
          • RPP 4-2 Power to Request Information and Documents
          • RPP 4-3 Power to Access Premises
          • RPP 4-4 Power to Require a Report
          • RPP 4-5 Power to Restrict an Authorised Person's Business or Property
          • RPP 4-6 Power to Impose Conditions and Restrictions on an Authorised Person's Licence or Endorsement
            • RPP 4-6-1
            • RPP 4-6-2
          • RPP 4-7 Power to Withdraw an Authorisation or Endorsement in Respect of One or More Financial Services or a Licence
          • RPP 4-8 Power to Impose Conditions and Restrictions on the Status of an Authorised Individual or Key Individual
          • RPP 4-9 Power to Restrict, Suspend and Withdraw the Status of an Authorised Individual or Key Individual
          • RPP 4-10 Power to Restrict Individuals
          • RPP 4-11 Powers Relating to the Registration of a Registered Auditor or Audit Principal
          • RPP 4-12 Miscellaneous Powers
          • RPP 4-13 [Deleted]
          • Appendix 1 — Key Powers
        • RPP 5 Enforcement
        • RPP 6 Penalty Guidance
        • RPP 7 Decision Making
        • RPP 8 Confidential Regulatory Information
        • RPP 9 Waivers and Modifications
        • RPP 10 Permissible Company and Trading Names for Entities Established in the DIFC
        • 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 4 Supervisory and Enforcement Powers
  5. RPP 4-6 Power to Impose Conditions and Restrictions on an Authorised Person's Licence or Endorsement
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  • Dec 23 2012 - Aug 20 2014
  • Aug 21 2014
‹ RPP 4-5-3 RPP 4-6-1 ›

RPP 4-6 Power to Impose Conditions and Restrictions on an Authorised Person's Licence or Endorsement

  • RPP 4-6-1
  • RPP 4-6-2
‹ RPP 4-5-3 RPP 4-6-1 ›
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