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You are viewing Updates in CBUAE Rulebook
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161 - 9.1 Outsourcing of Functions ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 9: Outsourcing of Functions
162 - Introduction ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 9: Outsourcing of Functions
163 - Chapter 9: Outsourcing of Functions ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards
164 - 8.7 Code of Conduct: ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
165 - 8.6 Succession Plan ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
166 - 8.5 Staff Rotation ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
167 - 8.4 Segregation of Duties ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
168 - 8.3 Job Descriptions ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
169 - 8.2 Recruitment and Know Your Employee (KYE) Process ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
170 - 8.1 Human Resource Policy ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
171 - Introduction ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 8: Human Resources
172 - Introduction ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 7: Accounts and Audit
173 - 7.1 Accountant ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 7: Accounts and Audit
174 - 7.2 Internal Audit ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 7: Accounts and Audit
175 - 7.3 External Audit ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 7: Accounts and Audit
176 - Chapter 8: Human Resources ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards
177 - 6.5 Functional Heads ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 6: Management and Corporate Governance
178 - 6.6 Appointment of a Compliance Officer and an Alternate Compliance Officer ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 6: Management and Corporate Governance
179 - 6.8 Board Meetings, Shareholders Meeting and other Meetings: ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 6: Management and Corporate Governance
180 - 6.7 Constitution of the Board of Directors and its Responsibilities ()
CBUAE Rulebook — Other Regulated Entities — Exchange Houses — The Standards for the Regulations Regarding Licensing and Monitoring of Exchange Business — B. Management and Governance Standards — Chapter 6: Management and Corporate Governance