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CHAPTER 1 – Supervisory powers of the AFSA
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
FINANCIAL SERVICES FRAMEWORK REGULATIONS
PART 1: INTRODUCTION
PART 2: THE FRAMEWORK OF REGULATION
PART 3: LICENSING OF CENTRE PARTICIPANTS
PART 4: CONTROLLED AND DESIGNATED FUNCTIONS
PART 5: CONTROL OF AUTHORISED PERSONS
PART 6: CAPITAL MARKETS
PART 7: COLLECTIVE INVESTMENT SCHEMES
PART 8: SUPERVISION
CHAPTER 1 – Supervisory powers of the AFSA
95. Exercise of supervisory powers by the AFSA
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
99-1. Power to give directions for prudential purposes and capital requirements
100. Power to impose a requirement
101. Power to enter into enforceable agreement
CHAPTER 2 – Obligations of Authorised Persons and Ancillary Service Providers
CHAPTER 3 – Accounting / Auditing
CHAPTER 4 – Financial Service Transfers
PART 9: ENFORCEMENT
PART 10: CONFIDENTIALITY
PART 11: CO-OPERATION AND EXCHANGE OF INFORMATION
PART 12: RECOVERY AND RESOLUTION
PART 13: Miscellaneous
SCHEDULE 1: Decision-making procedures of the AFSA
SCHEDULE 2: Appeal to the AIFC Court
RULES
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
CONSULTATION PAPERS
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PART 8: SUPERVISION
95. Exercise of supervisory powers by the AFSA
95. Exercise of supervisory powers by the AFSA
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
99-1. Power to give directions for prudential purposes and capital requirements
100. Power to impose a requirement
101. Power to enter into enforceable agreement