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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
GEN 2 Financial Services
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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GEN 2.9.1

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(1) In GEN Rule 2.2.2, Arranging Deals in InvestmentsG means making arrangements with a view to another PersonG buying, selling, subscribing for or underwriting an InvestmentG (whether that other Person is acting as principal or agent).
(2) The arrangements in (1) include:
(a) arrangements which do not bring about the transaction; and
(b) arrangements comprising or involving the receipt and transmission of ClientG orders in relation to InvestmentsG .
(3) The arrangements in (1) do not include arrangements which amount to Operating an Alternative Trading SystemG .
(4) In this Rule and in Rules 2.9.2 to 2.9.7, an "Investment" includes rights under a contract of Long-Term InsuranceG , that is not a contract of reinsurance.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] [VER4/08-05]
[Amended] [VER10/06-06]
[Amended] DFSA RM49/2007 (Made 1st October 2007). [VER16/10-07]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]
[Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]