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RPP 7-4-4

Some supervisory decisions of the DFSA, by their nature, do not invoke the procedures referred to in section 7-4-3. These decisions are generally made as part of the DFSA's day-to-day supervision of regulated firms. Examples include its decisions to:

(a) obtain additional information from regulated firms;
(b) issue risk mitigation plans stemming from any concerns identified; and
(c) commence an investigation.
Inserted (Made 21st August 2014). August 2014 Edition