SEO Letters

11 Feb 2025

Findings from the 2024 Thematic Review – Targeted Financial Sanctions Compliance: DIFC Insurance Sector

10 Feb 2025

Thematic Review on Conflicts of Interest 2025

16 Jan 2025

Cyber incident notifications and Threat Intelligence Platform information sharing

15 Jan 2025

Findings from the 2024 Whistleblowing Thematic Review

06 Dec 2024

High Growth Firms and Self-Custody Thematic Reviews 2024

20 Nov 2024

2024 DFSA Cyber Thematic Review

16 Oct 2024

2024 DFSA Thematic Review: Client Agreements and disclosure requirements for Crowdfunding Platform Operators

14 Oct 2024

2023-2024 DFSA Thematic Review: Complaints Handling

08 Oct 2024

2024 DFSA Thematic Review: Management of Operational Risk in Money Services Providers

05 Jul 2024

System upgrade to the DFSA ePortal

01 Jul 2024

Artificial Intelligence Survey

01 Jul 2024

Collective Investment Rules Reporting Requirements

11 Jun 2024

2023-2024 Thematic Review on Firm Disclosures

29 May 2024

Whistleblowing Thematic Review 2024

05 Apr 2024

Fixed Penalty Notices

18 Mar 2024

2023 DFSA Risk Assessments: Brokerage Business Models

23 Feb 2024

2023 DFSA Risk Assessments: Private Banking Business Models

20 Feb 2024

DFSA Cyber Risk Thematic Review 2024

12 Feb 2024

Updated Regulatory Returns

22 Dec 2023

Change of Reporting Requirements - CIR Notification of the Marketing and Selling of Funds

15 Dec 2023

Dear SEO Letter: Thematic review findings - Money Services Firms safeguarding of Client Money

29 Nov 2023

Dear SEO Letter: Financial Promotions

05 Sep 2023

Dear SEO Letter: Outcomes of 2023 Representative Office Sectoral Review

28 Aug 2023

Dear SEO Letter: Complaints Handling Thematic Review 2023

03 Aug 2023

Dear SEO Letter: Disclosures Thematic Review 2023

24 Jul 2023

Dear SEO Letter: UAE Ministry of Finance consultation on application of the UAE Corporate Tax Law to the Free Zones

14 Jul 2023

Dear SEO Letter: Recent systemic supply chain cyber-attack

20 Jun 2023

Dear SEO Letter: Arranging Activities Vs Referrals

15 May 2023

Dear SEO Letter: LIBOR Transition - Cessation of USD LIBOR Panel

19 Apr 2023

Dear SEO Letter: DIFC Crypto Token Regime - End of Transitional Period

06 Apr 2023

Dear SEO Letter: Updated Regulatory Returns

21 Feb 2023

Dear SEO Letter: DIFC Crypto Token Regime - Transitional Period

14 Feb 2023

Dear SEO Letter: Operating a Crowdfunding Platform in or from the DIFC

23 Nov 2022

Dear SEO Letter: Thematic Review on Outsourcing and Third-Party Risk

14 Sep 2022

Dear SEO Letter: DFSA Cyber Thematic Review Report 2022

24 Jun 2022

Dear SEO Letter: Outcomes of 2020/2021 Representative Office Sectoral Review

20 Jun 2022

Dear SEO Letter: The Role of Money Laundering Reporting Officers at Relevant Persons

17 Jun 2022

Dear SEO Letter: Hosting Group related staff in the DIFC

02 Jun 2022

Dear SEO Letter: DFSA Crypto Token Regime Survey

24 May 2022

Dear SEO Letter: DFSA thematic reviews covering three core areas: trade finance, correspondent banking, and electronic funds transfers

28 Apr 2022

Dear SEO Letter: Remote Working

23 Mar 2022

Dear SEO Letter: Whistleblowing Regime

15 Mar 2022

Dear SEO Letter: The Financial Action Task Force (FATF) Decision in relation to the United Arab Emirates (UAE)

15 Mar 2022

Dear SEO Letter: Regulatory Notifications

31 Jan 2022

Dear SEO Letter: DFSA Cyber Thematic Review

16 Nov 2021

Dear SEO Letter: Outcomes of thematic reviews on Brokerage AML

26 Aug 2021

Dear SEO Letter: Political uncertainty and unusual money flows

01 Jun 2021

Dear SEO Letter: Proposed Guidelines for Financial Institutions adopting Enabling Technologies

28 Apr 2021

Dear SEO Letter - Prompt Notifications to the DFSA

22 Dec 2020

DFSA Cyber Risk Management Guidelines

22 Nov 2020

Regulatory Relief Measures

16 Nov 2020

Transition from Inter Bank Offered Rates to Alternative Reference Rates - Follow-up

24 Sep 2020

Transition from Inter Bank Offered Rates to Alternative Reference Rates

26 Jul 2020

Enhancements to the DFSA’s Supervised Firm Contact Form (SFCF) and DFSA ePortal

06 May 2020

Joint Guidance on the treatment of financial crime risks and obligations in the UAE in the Context of the COVID-19 crisis

22 Apr 2020

Regulatory Relief Measures to Support the Community

09 Apr 2020

2020 Reporting Requirements

24 Mar 2020

The DFSA response to Covid-19

23 Mar 2020

Cyber Risk Monitoring and Reporting

08 Mar 2020

Operational Resilience Measures

04 Feb 2020

Ensuring Fitness and Propriety of Authorised Individuals and Employees

07 Jan 2020

DFSA Cyber Threat Intelligence Platform

04 Sep 2019

Demonstrating competence and expertise – Continuing Professional Development

08 Aug 2019

Updated UAE National Risk Assessment 2019 and Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations Guidelines for Financial Institutions

24 Jun 2019

GoAML Application

28 May 2019

Reporting Obligations - Foreign Account Tax Compliance Act and Common Reporting Standards

15 Apr 2019

The UAE National Risk Assessment Brief and Federal AML Legislation

07 Apr 2019

2019/2020 DFSA's Supervisory Priorities

04 Apr 2019

Updated Regulatory Forms

16 Dec 2018

Submitting Annual Reports using the DFSA ePortal in 2019

29 Oct 2018

Recent Changes to the DFSA AML Rulebook, DNFBP Registration and Supervision

24 Jul 2018

Updates to DFSA ePortal

23 Jul 2018

Outcome of Financial Crime Thematic Review

05 Jun 2018

Reporting Obligations - Foreign Account Tax Compliance Act and Common Reporting Standards

26 Dec 2017

European Union (EU) Legal Entity Identifier Requirement

10 Dec 2017

Restructuring of DFSA Supervision Division

31 Jul 2017

DFSA ePortal and Annual AML Return 2017

24 Jul 2017

Retail Over-The-Counter Dervatives in the DIFC

04 Apr 2017

Supervised Firm Contact Form - Annual Reporting

03 Apr 2017

Foreign Account Tax Compliance Act Reporting Obligations

25 Jan 2017

Recent Changes to DFSA Rulebook Resulting from CP 106, CP 107 and CP 108

22 Dec 2016

Organization for Economic Cooperation and Development Common Reporting Standard Reporting Obligations

19 Apr 2016

FATCA Reporting Obligations

31 Mar 2016

Client Assets or Insurance Monies Endorsement

29 Mar 2016

Preparation of Financial Statements

03 Mar 2016

Guidance to complete DFSA’s Annual AML Return

03 Mar 2016

Guidance to complete DFSA's Annual AML Return

Retail Foreign Exchange Risk Disclosure

15 Jul 2015

DFSA Policy on Permissible Company and Trading Names for Entities in Established in the DIFC

09 Jul 2015

The United States Foreign Account Tax Compliance Act (FATCA) - Authorised Firms (AF) Obligations

20 Apr 2015

Supervisory Priorities and Issues

19 Apr 2015

The Marketing of Foreign Exchange ("FX") and other Highly-leveraged Products ("HLPs") to Retail Inve

31 Mar 2015

Annual Anti-Money Laundering (AML) Return

13 Mar 2014

Retail Foreign Exchange ("RFX") Transactions in the DIFC

03 Feb 2014

Awareness Survey of the US Foreign Accountant Tax Compliance Act

22 Jan 2014

Thematic Review - Corporate Governance

Retail Foreign Exchange Risk Disclosure

FATCA Letter United States Foreign Account Tax Compliance (FATCA)

28 Nov 2013

Remuneration Thematic Review

04 Nov 2013

Trading Desk Survey

09 Jul 2013

Implementation of the EU Alternative Investment Fund Managers Directive

06 Dec 2012

New and Enhanced PIB Module of DFSA Rulebook - Roll-Out and Implementation

25 Nov 2012

Markets Law 2012 Article 38 Declaration

04 Nov 2012

Public Offers of Securities in or from the Dubai International Financial Centre (DIFC)

18 Oct 2012

Outcome of Thematic Review - Client Take-On Processes and Suitability

12 Mar 2012

Thematic Review - Client Acceptance and Take-On Processes

08 Feb 2012

Dubai Financial Services Authority Stakeholder Survey - 2 March 2011: UNSCR 1970

01 Mar 2011

UNSCR 1970 (2011)

27 Jan 2011

MENA Region PEPs

05 Sep 2010

New Risk Management Concerns

17 Aug 2010

Outcome of Thematic Review - Client Assets and Insurance Monies

29 Jul 2010

Notification of Theme Review - Corporate Governance

20 Jun 2010

United Nations Security Council Resolution 1929 (2010) and Related Matters

17 Mar 2010

Outcome of Thematic Review - Anti-Money Laundering and Counter Terrorist Financing

17 Mar 2010

AML/CTF Alert - Financial Task Force Public Statements on High Risk Jurisdictions

20 Dec 2009

Outcome of DFSA's Controls Questionnaire 2009

16 Sep 2009

Outcome of Theme Review - Outsourcing of Functions

23 Jun 2009

Importance of UN Security Council Sanctions and Customer Due Diligence

11 Jun 2009

Enhancements to our Supervisory Programme for Authorised Firms

20 Apr 2009

Suitability & Fair Treatment of Customers Theme Review

12 May 2008

Capital Adequacy Planning and Monitoring Processes Theme Review

12 May 2008

Compliance with Federal Law Provisions on Dealing in Dirham and Deposit Taking

06 Jan 2008

Financial Action Task Force Statement on Iran

DFSA Stakeholder Survey and the executive summary of the Chant Link Report

01 Nov 2007

Changes in the Frequency and Scope of On-site Risk Assessments for Low-Risk Firms

06 Sep 2007

Results of AML/CTF Theme Review