Appropriate supervision of AMIs is crucial to ensuring that markets are fair, orderly, and transparent and that investors are protected.
The DFSA takes a risk-based approach to supervising AMIs. The AMI rulebook, as well as setting out the standards an AMI must meet, requires AMIs to report periodic and event-based information. In addition, DFSA conducts regular risk assessments alongside ongoing monitoring of compliance with obligations set out in the applicable laws and rulebooks.
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