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Dubai Financial Services Authority (DFSA): Contents

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GEN 2.9.1

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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.

(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]