DFSA
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
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Dubai regulator consults on changing Islamic finance framework
New framework will align regulatory requirements with broader national objectives, including the UAE Strategy for Islamic Finance and Halal Industry as well as Dubai’s Economic Agenda (D33).
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Dubai regulator highlights compliance issues among fintech firms
A thematic review looked at capacity and resources, policies and procedures, examples of good practice, and advice on where improvements can be made.
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DFSA consults on new operational resilience framework
Proposals reflect established international approaches to operational resilience and will be familiar to Authorized Firms that are already subject to regimes in the UK and EU.
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Financial regulation 2.0: What EU regulatory evolution means for practitioners
Regulation targeting the financial sector continues to evolve. We explore the EU’s future approach, where reforms are balanced with core safeguards – alongside perspectives from other key markets for the Nordic and Baltic region.
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Dubai regulator levies some of its heaviest fines yet
DFSA fines two firms for inadequate system controls, reporting failure and deceptive conduct.
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Dubai regulator tells firms to improve policies on managing conflicts of interest
Review reveals shortcomings including lack of clarity in existing policies, failure to carry self-assessment, and narrow scope on what counts as conflict of interest.
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GRIP Extra: CFTC/SEC again extend Form PF compliance, AMF pushes for stronger ESMA oversight
Our in-brief roundup of notable stories from the last week.