Authorised Person

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Authorised Person

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Authorised Market Institution

Authorised Private E-currency Trading Facility

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13.1.1. Who can act as Money Laundering Reporting Officer
14.6.1. Audit obligation
Auditor
8.3. Eligible Custodian
2.1. Requirements in GEN
2.7.3. Direct electronic access – criteria, standards and arrangements
5.1. Introduction
6.3.3. Decision-making procedures for the AFSA in relation to applications for approval of the admission of Digital Assets to trading
4.2.2. Principle 2 ‐ Due skill, care and diligence
4.2.3. Principle 3 ‐ Management
4.2.4. Principle 4 ‐ Systems and controls
4.2.5. Principle 5 ‐ Resources
4.2.6. Principle 6 ‐ Market conduct
4.2.7. Principle 7 ‐ Information and interests
4.2.8. Principle 8 ‐ Conflicts of interest
4.2.9. Principle 9 ‐ Suitability
4.2.10. Principle 10 ‐ Client assets and money
4.2.11. Principle 11 ‐ Relations with the AFSA
4.2.12. Principle 12 ‐ Compliance with high standards of corporate governance
4.2.13. Principle 13 ‐ Remuneration practices
5.1.2. Review of systems and controls
5.1.4. Prevention of market abuse, financial crime and other illegal conduct
5.1.3. Business plan and strategy
4.3.5. Principle 5 ‐ Management, systems and control
4.3.6. Principle 6 ‐ Compliance
5.1.1. Requirement to maintain systems and controls
5.2.1. Responsibility for compliance
5.2.2. Outsourced function deemed to be carried on by Authorised Person
5.2.3. Due diligence and supervision
5.2.4. Notification of AFSA of material outsourcing arrangements
5.2.5. Material outsourcing arrangements
5.2.6. Terms of outsourcing contracts
6.2.2. Branches
5.3.1. Governing Body
5.3.2. Governing Body – membership
5.3.3. Governing Body – responsibilities
5.3.4. Governing Body – competence, training and access to information
5.3.5. Senior management
5.3.6. Management information
6.2.1. Core information
5.7.2. Information barriers with a group
5.7.4. Effect of information barrier
5.8.1. Operational risk
5.8.2. Legal risk
5.8.3. Fraud risk
5.8.4. Business continuity plan
5.9.1. Record keeping obligation
5.9.2. Retrieval of records
6.4.1. Power to suspend
7.3.1 Clients of an Authorised Crowdfunding Platform
17.1. [intentionally omitted]
2. Systems and Controls
15. Definition of Authorised Person
42. Applications for Controlled Function approval
45. Residency requirement for Approved Individual
43. Criteria for approval
44. Grant or rejection of application
46. Criteria for appointment of Designated Individual
47. Review of appointments by the AFSA
48. Requirement for AFSA approval to change in control
49. Rules governing Controllers
50. Powers of the AFSA in respect of Controllers
55. Persons eligible for Membership
96. Power to gather information
97. Power to require the production of a report
98. Power to restrict, withdraw or suspend a Licence
99. Power to impose a prohibition
100. Power to impose a requirement
102. Obligation of disclosure to the AFSA
103. Obligation to comply with an order or requirement of the AFSA
104. Provision of information to the AFSA
105. Obstruction of the AFSA
106. No liability for provision of information or documents to the AFSA
109. Requirement to appoint an Auditor
110. Auditor rules
116. Powers to Obtain Information and Documents for Investigation
118. Sanctions for contraventions
119. General contravention provision
122. Appointment of Managers
123. Compulsory Winding up
2.2.2. Senior Executive Officer
2.2.3. Director
2.2.4. Finance Officer
2.2.5. Compliance Officer
Guidance: Purpose of this rulebook
2.2.6. Application for Approved Individual status
2.2.7. AFSA discretion to waive requirements
2.3.2. Senior Manager
2.3.3. Responsible Officer
2.3.4. Money Laundering Reporting Officer
2.3.5. Risk Manager
2.3.6. Internal Audit Manager
2.3.7. Appointment of Designated Individual
4.2.1. Principle 1 ‐ Integrity
3.1.1. Definition of a Controller
3.1.2. Definition of “share” and “holding”
3.1.3. Disregarded holdings
3.2.2. Approval process
3.4.2. Annual report
3.2.3. Effect of AFSA approval or conditional approval
3.3.1. Notification for decrease in the level of control of Authorised Person incorporated in the AIFC
3.3.2. Notification of changes relating to control of Branches
3.4.1. Obligations of Authorised Person relating to its Controllers
5.3.7. Remuneration structure and strategy
5.4.1. Requirement to maintain compliance arrangements
5.6.3. Management of conflicts of interest
5.4.2. Documentation of compliance arrangements
5.4.3. Compliance Officer – sufficient resources
5.4.4. Compliance Officer – access to records and management
5.4.5. Monitoring and reporting arrangements
5.7.1. Establishment of information barriers
5.4.6. Documentation of monitoring and reporting arrangements and breaches
5.5.1. Requirement to maintain internal audit function
5.5.2. Independence of internal audit function
5.5.3. Access to records and resources
5.5.4. Documentation of organisation, responsibilities and procedures
5.6.1. Identification of conflicts of interest
5.6.2. Factors relevant to the existence of a conflict of interest in the provision of a service
6.1.1. Notification of requirement to produce a report
6.1.2. Nomination or approval of Skilled Person
6.1.3. Obligations of Skilled Person
6.1.4. Contract with Skilled Person
6.2.3. Regulatory impact
6.2.5. Suspected Market Abuse
6.2.6. Fraud and errors
6.2.7. Other regulators
6.2.8. Action against an Authorised Person
6.2.9. Winding up, bankruptcy, insolvency and resolution
6.2.10. Information relating to corporate governance and remuneration
6.2.11. Accuracy of information
6.2.12. Correction of inaccurate information
6. SUPERVISION
6.3.1. Financial statements
6.3.2. Approval of financial statements
6.3.3. Accounting records and regulatory returns
6.3.4. Retention of and access to records
6.3.5. Financial year end
6.3.6. Appointment and termination of Auditors
6.3.7. Independence of the Auditor
6.3.8. Co‐operation with Auditors
6.3.9. Audit reports
16. Operating a Representative Office
18. Providing Credit
21. Providing Money Services
9.1.1. Permitted reliance
FinTech Lab Participant
1.7. Islamic Financial Institution
2.3. Systems for risk management and internal controls
3.5 Employees
1.1. General application rule
Controlled Function
14. Operating a Representative Office
Controller
Designated Individual
DNFBP
Islamic Finance Business
7.4.1. General
7.4.2. Nature of failure to comply

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