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CHAPTER 2 – Obligations of Authorised Persons and Ancillary Service Providers
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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
CHAPTER 2 – Obligations of Authorised Persons and Ancillary Service Providers
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
107. Self-incrimination
108. Privilege
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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101. Power to enter into enforceable agreement
102. Obligation of disclosure to the AFSA
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
107. Self-incrimination
108. Privilege