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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

31Article 90.

32Article 49.

33Article 50.

34Article 51.

35Article 56.

36Article 58.

37Article 88.

38Article 98A.

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