Regulatory Policy and Process Guidance Instrument (No. 8) 2011 — DFSA — AE

GM8/2011 Regulatory Policy and Process Guidance Instrument (No. 8) 2011

The Chief Executive of the Dubai Financial Services Authority in the exercise of the powers conferred on him under the Regulatory Law 2004, hereby makes the guidance in the appendices to this instrument.

Commencement

(1) This instrument is made on 27 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

Sourcebook Module

(2) The Regulatory Policy and Process Sourcebook module in Appendix 1 Appendix 1 to this instrument may be identified by the following reference — RPP/VER1/02-11.

Amendments to Rulebook Modules:

(3) The Authorised Market Institutions (AMI) module — (AMI/VER9/03-10) is amended in accordance with Appendix 2 Appendix 2 to this instrument and the Module as amended by this instrument may be identified by the following reference — (AMI/VER10/02-11).

(4) The Anti Money Laundering (AML) module — (AML/VER6/01-10) is amended in accordance with Appendix 3 Appendix 3 to this instrument and the Module as amended by this instrument may be identified by the following reference — (AML/VER7/02-11)

(5) The Ancillary Service Providers (ASP) module — (ASP/VER7/09-08) is amended in accordance with Appendix 4 Appendix 4 to this instrument and the Module as amended by this instrument may be identified by the following reference — (ASP /VER8/02-11)

(6) The Prudential — Insurance Business (PIN) module — (PIN/VER10/07-08) is amended in accordance with Appendix 5 Appendix 5 to this instrument and the Module as amended by this instrument may be identified by the following reference — (PIN/VER11/02-11)

Citation

(7) This instrument may be cited as the Regulatory Policy and Process Guidance Instrument (No. 8) 2011.

(8) Appendix 1 Appendix 1 to this instrument may be cited as the Regulatory Policy and Process Sourcebook module or RPP.

Paul M Koster
Chief Executive

February 2011
GM 8/2011

Click here here to view Appendix 1 in PDF format.
Click here here to view Appendix 2 in PDF format.
Click here here to view Appendix 3 in PDF format.
Click here here to view Appendix 4 in PDF format.
Click here here to view Appendix 5 in PDF format.

Lineage: No known changes

RegAlert holds no document that amends or replaces this one. This is not a check that it is in force: confirm with the regulator.

amendssupersedesissued underrefers todashed card: not in RegAlert (or proposed)arrows run from the older text to the one that changes it

The links and the sentences they come from (1)

Issued under

Regulatory Law 2004Not in RegAlert
“The Chief Executive of the Dubai Financial Services Authority in the exercise of the powers conferred on him under the Regulatory Law 2004, hereby makes the guidance in the appendices to this instrument.”

Mentions (1): 1 document mentions this one without changing it

Referred to by

Notice of Amendments to Legislation2011 · DFSA
“The DFSA has also amended and removed certain guidance (see Guidance Instrument No. 8, 2011 for details) from the following modules of the DFSA Rulebook”