United Arab Emirates: Dubai International Financial Centre: Financial Sector Assessment Program: Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation

November 16, 2007

Summary

This Detailed Assessment of the Observance of International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation for the Dubai International Financial Centre (DIFC) discusses the preconditions for effective securities regulations and principle-by-principle assessment. The Dubai Financial Services Authority (DFSA) has established a very impressive set of laws, regulations, and rules and policies and procedures for regulation. The DFSA has shown a commitment to bring action against those in violation of the law and its rules, and has established robust licensing processes.

Subject: Audit standards and procedures, Financial institutions, Financial regulation and supervision, Financial services, Financial statements, IOSCO Objectives and Principles of Securities Regulations, Public financial management (PFM), Securities

Keywords: Audit standards and procedures, CR, DFSA audit requirement, DFSA authority, DFSA authority refuse, DFSA conduct, DFSA employee, DFSA markets staff, DFSA notice, DFSA rule, DFSA staff resource, DFSA website, Financial statements, IOSCO Objectives and Principles of Securities Regulations, ISCR, limited partnership, Securities, senior management

Pages:
36
Volume:
2007
DOI:
https://doi.org/10.5089/9781451801200.002
Issue:
365
Series:
Country Report No. 2007/365
Stock No:
1AREEA2007004
ISBN:
9781451801200
ISSN:
1934-7685

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