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RPP 5-6-4

Whilst not an exhaustive list, the DFSA may refer a matter for determination to the DMC for the:

(a) imposition of a fine;31
(b) imposition of a censure;19
(c) imposition of conditions or restrictions on a Licence or in relation to a Licence endorsement;32
(d) withdrawal of an authorisation under, or endorsement on, a Licence;33
(e) withdrawal of a Licence;34
(f) imposition of conditions or restrictions on an Authorised Individual or Key Individual;35
(g) restriction or suspension of an Authorised Individual or Key Individual, or the withdrawal of his or her authorisation;36
(h) withdrawal of the registration of a DNFBP;
(i) revocation of recognition;
(j) appointment of a manager;37 or
(k) withdrawal or suspension of the registration of a Registered Auditor or Audit Principal;38

31 Article 90.

32 Article 49.

33 Article 50.

34 Article 51.

35 Article 56.

36 Article 58.

37 Article 88.

38 Article 98A.

Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition