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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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PIB 6.1.1

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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.

This chapter applies to an Authorised FirmG as follows:

(a) Sections PIB 6.1 to PIB 6.9 apply to an Authorised FirmG in any CategoryG ;
(b) Sections PIB 6.10 and PIB 6.11 apply only to an Authorised FirmG in CategoryG 1, 2, 3A or 5;
(c) PIB section 6.12 applies only to an Authorised FirmG in CategoryG 3B, 3C or 4 which undertakes one or more of the following Financial ServicesG :
(i) Arranging Deals in InvestmentsG ;
(ii) Managing AssetsG ;
(iii) Advising on Financial ProductsG ;
(iv) Managing a Collective Investment FundG ;
(v) Providing CustodyG ;
(vi) Insurance IntermediationG ;
(vii) Insurance ManagementG ;
(viii) Managing a Profit Sharing Investment AccountG (unrestricted);
(ix) Providing Trust ServicesG ;
(x) Providing Fund AdministrationG ;
(xi) Acting as the Trustee of a FundG ;
(xii) Arranging Credit and Advising on CreditG ; or
(xiii) Operating a Crowdfunding PlatformG
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM188/2016 (Made 7th December 2016). [VER26/02-17]
[Amended] DSFA RM203/2017 (Made 14th June 2017). [VER28/08-17]