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CHAPTER 4 – Controlled and Designated Functions
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
FINANCIAL SERVICES FRAMEWORK REGULATIONS
PART 1: INTRODUCTION
PART 2: THE FRAMEWORK OF REGULATION
CHAPTER 1–The AFSA
CHAPTER 2 – Centre Participants
CHAPTER 3 – Activities performed by Centre Participants
CHAPTER 4 – Controlled and Designated Functions
20. Definition of Controlled Function
21. Definition of Approved Individual
22. Definition of Designated Function
23. Definition of Designated Individual
CHAPTER 5 – Prohibitions
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
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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19. Definition of Ancillary Service
20. Definition of Controlled Function
20. Definition of Controlled Function
21. Definition of Approved Individual
22. Definition of Designated Function
23. Definition of Designated Individual