Tuesday, 31 July 2012

Do firms need to submit regular returns?

An Ancillary Service Provider must submit an annual declaration of compliance within two months of its financial year end. Firms must also notify the DFSA of changes in its name, legal status, address, controllers or financial year end. Ancillary Service Providers must also provide the DFSA with a copy of the report that the AMLO provide must submits annually to the Governing Body of the Ancillary Service Provider.

An Ancillary Service Provider must also notify the DFSA of any breaches of the Laws, Rules or events which may mean that the firm is not compliant with the terms of the Code for Ancillary Service Providers.

Winston Wambua

For more information please contact me on

Mobile +971553350517

Email: winstonk@live.com

Skype: Winston.Wambua

No comments:

Post a Comment

Note: only a member of this blog may post a comment.