The DFSA’s Tomorrow’s Regulatory Leaders Programme currently has 9 Emirati graduates training to become financial services regulators.
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DFSA Issues Consumer Alert on Email Scams using DIFC
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The DFSA is committed to open and transparent communication with Authorised Firms. From time-to-time the DFSA issues letters to the Senior Executive Officers (SEOs) of Authorised Firms, which alert firms to specific issues which might arise in the marketplace or as part of our regulatory scope.
Although these letters are not legally binding, we do expect firms to consider their content and react appropriately.
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Current SEO Letters 2 March 2011: UNSCR 1970 (2011)27 January 2011: MENA Region PEPsPrevious SEO Letters 3 November 2010: New Risk Management Concerns17 August 2010: Outcome of Thematic Review - Client Assets and Insurance Monies29 July 2010: Notification of Theme Review - Corporate Governance20 June 2010: United Nations Security Council Resolution 1929 (2010) and Related Matters17 March 2010: Outcome of Thematic Review - Anti-Money Laundering and Counter Terrorist Financing17 March 2010: AML/CTF Alert - Financial Task Force Public Statements on High Risk Jurisdictions20 December 2009: Outcome of DFSA's Controls Questionnaire 200916 September 2009: Outcome of Theme Review - Outsourcing of Functions23 June 2009: Importance of UN Security Council Sanctions and Customer Due Diligence11 June 2009: Enhancements to our Supervisory Programme for Authorised Firms 20 April 2009: Suitability & Fair Treatment of Customers Theme Review19 August 2008: DFSA Stakeholder Survey and the executive summary of the Chant Link Report12 May 2008: Compliance with Federal Law Provisions on Dealing in Dirham and Deposit Taking 12 May 2008: Capital Adequacy Planning and Monitoring Processes Theme Review 6 January 2008: Financial Action Task Force Statement on Iran1 November 2007: Changes in the Frequency and Scope of On-site Risk Assessments for Low-Risk Firms6 September 2007: Results of AML/CTF Theme Review