RPP 5-19-1

This Policy Statement describes how the DFSA Executive may comment publicly on investigations, enforcement actions and other formal regulatory decisions51, subject to any independent determinations by the Regulatory Appeals Committee (RAC), Financial Markets Tribunal (FMT) and courts, unless otherwise ordered by any of these bodies, including:

(a) General policy on publicity of enforcement actions;
(b) Commencement and conclusion of investigations;
(c) Commencement of proceedings;
(d) Disclosure of Decisions;
(e) Disclosure of Settlement Agreements and Enforceable Undertakings;
(f) Content of Publication; and
(g) Mode of Publication.

51In the remainder of the section we refer to 'enforcement actions', for brevity. Formal regulatory decisions are those that are made by a Decision Maker and are reviewable by the RAC.

Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition