Guides
Each applicant will be required to submit documentation evidencing the internal control systems that will govern the affairs of the applicant as part of the authorisation process. The guidelines are an indication of AFSA’s minimum expectations and do not constitute an exhaustive list of requirements that might be applicable to the firm’s business.
Guidelines for the Compliance Manual
Guidelines for the Risk Management Policy
Guidelines for the Conflicts of Interest Policy
Guidelines for the Business Continuity Plan
Guidelines for AML_CTF Policies and Procedures
AFSA has adopted a Guide on Authorisation process and a Guide on setting up an investment funds in AIFC. Both documents provide guidance on authorisation process and are aimed at enhancing understanding on the matters AFSA takes into consideration during authorisation of Person, including on fund management.
Guide on the Authorisation process
Regulatory guidance on fitness and propriety
Guidance to the AIFC Captive Insurance Regime
Guidance for fund management activity and funds in the AIFC
