Dubai Financial Services Authority (DFSA) published the Conduct Supervisory Pulse, which identified examples of effective Personal Account Dealing (PAD) arrangements across brokerage firms of different sizes and business models.
Published
Signal category
Research & Knowledge
Quote
“Our recently published Conduct Supervisory Pulse identified examples of effective Personal Account Dealing (PAD) arrangements across brokerage firms of different sizes and business models.”
— Dubai Financial Services Authority (DFSA) team
Company
Dubai Financial Services Authority (DFSA)
The independent financial regulator of the Dubai International Financial Centre.
- Location
- Dubai, AE
- Company size
- 280 employees
The DFSA is the independent regulator of financial services conducting in or from the DIFC, a purpose-built financial free-zone in Dubai, UAE. The DFSA’s regulatory mandate includes asset management, banking and credit services, securities, collective investment funds, custody and trust services, commodities futures trading, Islamic finance, insurance, an international equities exchange, and an international commodities derivatives exchange. In addition to regulating financial and ancillary services, the DFSA is responsible for supervising and enforcing Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) requirements applicable in the DIFC to the individuals and firms it regulates. The DFSA also exercises delegated enforcement powers under the DIFC Companies Law. The DFSA also exercises delegated enforcement powers under the DIFC Companies Law.