DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES

International Co-operation

To achieve our objectives, the DFSA fosters and maintains relationships with other regulatory agencies within Dubai and the UAE, as well as with international bodies, regulators and organisations. For ease of access, a number of links to local registers, the DIFC's two exchanges, DIFC Court decisions, local and English language news sources and telephone directories are provided here.

In the context of non-public information, the DFSA actively pursues alliances and the creation of Memoranda of Understanding with local, national and international bodies, authorities and organisations. These Memoranda facilitate the realisation of the DFSA’s objectives and guiding principles, which include co-operating with and providing assistance to authorities, bodies and organisations in the State and other jurisdictions. In particular, these Memoranda facilitate the way in which regulators can assist each other in the pursuit of individual and common objectives, including through the exchange of information and the use of enforcement powers.

MoUs signed by the DFSA

The traditional mechanism for formalising co-operation between regulatory authorities in different jurisdictions is a bi-lateral Memorandum of Understanding (MoU).

An MoU provides a formal basis for co-operation between regulatory authorities, bodies and organisations, including for the exchange of information and investigative assistance, based on existing laws. This means it cannot make lawful a release of information that would otherwise be unlawful, nor can it compel assistance that can only be voluntary.

It should be noted that the lack of an MoU is no impediment to sharing information and providing assistance to a fellow regulator as the DFSA's authority to share information and assist is based on specific provisions in the Regulatory Law. Chapter 8 of the DFSA Regulatory Policy and Process (RPP Sourcebook) elucidates further on the DFSA exercising powers on behalf of other authorities and sharing information with domestic and foreign regulators, bodies and organisations.

Multi-lateral MoUs

  • The International Organisation of Securities Commissions (IOSCO)
  • The Boca Declaration
  • International Association of Insurance Supervisors (IAIS)
  • IOSCO Africa and Middle East Regional Committee (AMERC)
  • The International Forum of Independent Audit Regulators (IFIAR)

Bi-lateral MoUs:

1 Abu Dhabi Financial Services Regulatory Authority of ADGM
2 Australia Australian Prudential Regulation Authority
3 Australia Australian Securities and Investments Commission
4 Bahrain Central Bank of Bahrain
5 Belgium Banking, Finance & Insurance Commission of Belgium [+AIFMD]
6 Canada Office of the Superintendent of Financial Institutions
7 Cayman Islands Cayman Islands Monetary Authority
8 China China Banking & Insurance Regulatory Commission
9 China China Securities Regulatory Commission
10 Cyprus Central Bank of Cyprus
11 Cyprus Securities and Exchange Commission 
12 Denmark Financial Supervisory Authority (Finanstilsynet) 
13 Dubai Dubai Police General Head Quarters 
14 Dubai Dubai’s Public Prosecution
15 Dubai Smart Dubai
16 Egypt Central Bank of Egypt
17 Egypt Egyptian Financial Supervisory Authority
18 Europe European Securities and Markets Authority (re Credit Rating Agencies)
19 Europe European Securities and Markets Authority (re Central Counterparts)
20 France Banque de France
21 France L’Autorite des Marches Financiers 
22 Germany Federal Financial Supervisory Authority of Germany (BAFIN)
23 Greece Hellenic Capital Market Commission 
24 Guernsey Financial Services Commission
25 Hong Kong Securities and Futures Commission
26 Iceland The Financial Supervisory Authority (Fjarmalaeftirlitid)
27 India Reserve Bank of India
28 India Securities and Exchange Board of India
29 Indonesia  Financial Services Authority (Otoritas Jasa Keuangan)
30 Ireland The Irish Financial Services Regulatory Authority
31 Isle of Man Isle of Man Financial Services Authority
32 Italy Bank of Italy (Banca d’Italia)
33 Italy Italian Securities & Exchange Commission (Commissione Nazionale per le Società e la Borsa) 
34 Japan Financial Services Authority
35 Japan Ministry of Agriculture, Forestry and Fisheries
36 Japan Ministry of Economy, Trade and Industry
37 Jersey Financial Services Commission
38 Jordan Central Bank of Jordan
39 Jordan Insurance Commission of Jordan
40 Jordan Jordan Securities Commission
41 Kazakhstan Astana Financial Services Authority 
42 Kuwait Capital Markets Authority
43 Lebanon Banque du Liban
44 Lebanon Capital Markets Authority
45 Luxembourg Commission de Surveillance du Secteur Financier 
46 Malaysia Bank Negara – Islamic Finance
47 Malaysia

Securities Commission of Malaysia (re Cooperation and Exchange of Information)

48 Malaysia

Securities Commission of Malaysia (re Marketing and Distribution of Islamic Funds)

49 Malta Financial Services Authority 
50 Mauritius Financial Services Commission
51 Morocco Bank Al Maghrib
52 Netherlands De Nederlandsche Bank
53 Netherlands Authority for Financial Markets 
54 New Zealand New Zealand Securities Commission
55 Oman Central Bank of Oman
56 Oman Capital Markets Authority
57 Portugal Banco de Portugal
58 Qatar Financial Centre Regulatory Authority
59 Russia Central Bank of the Russian Federation
60 Saudi Arabia Saudi Arabian Monetary Authority
61 Singapore Monetary Authority of Singapore
62 South Africa Financial Services Board of South Africa
63 South Africa The Bank Supervision Department of the South African Reserve Bank
64 South Korea Financial Supervisory Commission
65 Sweden Financial Supervisory Authority 
66 Switzerland Federal Banking Commission
67 Switzerland Financial Market Supervisory Authority (FINMA)
68 Taiwan Financial Supervisory Commission 
69 Thailand Securities and Exchange Commission
70 Turkey Capital Markets Board
71 Turkey Banking Regulation and Supervision Agency
72 UAE Central Bank of the UAE
73 UAE Insurance Authority
74 UAE Securities and Commodities Authority
75 UAE Telecommunication Regulatory Authority - Computer Energy Response Team
76 United Kingdom Financial Conduct Authority
77 United Kingdom Financial Conduct Authority (post Brexit)
78 United Kingdom Prudential Regulation Authority
79 United States New York State Banking Department
80 United States Commodity and Futures Trading Commission
81 United States The Federal Reserve, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Cooperation
82 United States The Public Company Accounting Oversight Board

Alternative Investment Fund Managers Directive (AIFMD) MoUs:
 

1 Austria Austrian Financial Market Authority (AIFMD)
2 Belgium Financial Services & Markets Authority 
3 Bulgaria Financial Supervision Commission Bulgaria 
4 Cyprus Cyprus Securities & Exchange Commission
5 Czech Republic Czech National Bank 
6 Denmark Financial Supervisory Authority (Finanstilsynet) 
7 Estonia Estonian Financial Supervision Authority 
8 Finland Finanssivalvonta Finland 
9 France L’Autorite des Marches Financiers 
10 Greece Hellenic Capital Market Commission 
11 Hungary Pénzügyi Szervezetek Allami Felügyelete 
12 Iceland The Financial Supervisory Authority (Fjarmalaeftirlitid)
13 Ireland Central Bank of Ireland 
14 Italy Italian Securities & Exchange Commission (Commissione Nazionale per le Società e la Borsa) 
15 Latvia Financial & Capital Market Commission 
16 Liechtenstein Financial Market Authority 
17 Lithuania Bank of Lithuania 
18 Luxembourg Commission de Surveillance du Secteur Financier 
19 Malta Financial Services Authority 
20 Netherlands Authority for Financial Markets 
21 Norway Financial Supervisory Authority (Finanstilsynet)
22 Poland Financial Supervision Authority 
23 Portugal Securities Market Commission 
24 Romania Financial Supervisory Authority 
25 Spain The National Securities Market Commission (Comision Nacional del Mercado de Valores)
26 Sweden Financial Supervisory Authority 
27 United Kingdom Financial Conduct Authority 

 


REGULATORY DUE DILIGENCE LINKS

To assist our fellow regulators, particularly in fulfilling their licensing and registration responsibilities, the DFSA has joined other members of IOSCO in an initiative to provide enhanced access to publicly available information. The following links to local registers, the DIFC's two exchanges, DIFC Court decisions, local and national English language news sources and telephone directories are provided here to answer preliminary enquiries and to facilitate the due diligence process.

Requests from regulators and other agencies for non-pubic information should be directed to the DFSA’s Director of International Relations (via Requests: [email protected]), and will be dealt with under existing bi-lateral or multi-lateral protocols (as applicable), the Regulatory Law and the RPP Sourcebook.

Local Register Dubai Mercantile Exchange (DME)
DIFC Registries DME Members’ List
DIFC Courts DME Market News
DFSA Media Releases DME Market Notices
DIFC Press Centre Yellow Pages (UAE Directory)
NASDAQ Dubai (Stock Exchange) Gulf News
NASDAQ Dubai Members’ List Khaleej Times
NASDAQ Dubai Market News The Gulf Today
NASDAQ Dubai Market Notices The National

 

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