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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

Whole SectionText only Print Print Manager Link

(1 version)
Dec 9 2012 onwards

PIB 1.3.5

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The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

An Authorised FirmG is in CategoryG 3C if:

(a) its LicenceG authorises it to carry on one or more of the Financial ServicesG of:
(i) Managing AssetsG ;
(ii) Managing a Collective Investment FundG ;
(iii) Providing CustodyG (where it does so other than for a FundG );
(iv) Managing a PSIAG (which is a PSIArG ); or
(v) Providing Trust ServicesG (where it is acting as trustee in respect of at least one express trust); and
(b) it does not meet the criteria of CategoriesG 1, 2, 3A, 3B or 5.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]