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2009
W 130/09 COB — Barclays Bank Plc
Financial Markets Tribunal
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Jul 27 2009 onwards

W 130/09 COB — Barclays Bank Plc



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WAIVER AND MODIFICATION NOTICE

To Barclays Bank Plc
Address DIFC, The Gate Building Level 9 West Wing Po Box 506504 Dubai, UAE
DFSA Firm Reference No. F000013
Notice No. W130/2009

THE DFSA HEREBY GIVES NOTICE THAT:

1. The Rules specified in Table A herein do not apply to the above mentioned Person.

AND

2. The Rules specified in the left hand column of Table B herein do not apply to the above mentioned Person in the form appearing in the Rulebook but instead apply as modified in the right hand column of the table.

RULES WAIVED

As a consequence of waiving the Rules below, Table 2 in PIB Chapter 1 is to be construed accordingly.

TABLE A
Rulebook Module Rule
COB COB 5.4.1
COB 5.4.2

RULES MODIFIED

The Rules specified in the left hand column are modified to the extent shown in the right hand column of the table below. In this table, underlining indicates new text and striking through indicates deleted text, otherwise the Rule remains unaltered. Where a significant number of the paragraphs of the Rule remain un-altered the entire Rule may not be reproduced in the table. In such circumstances the un-altered parts of the Rule will be referred to by the relevant identifying paragraph number or letter, as the case may be.

TABLE B
Rule Modified Text
COB 5.4.3 A Trust Service Provider must provide the DFSA on a yearly basis, with the details of the arrangements in force together with evidence of the cover. Any claims in excess of $10,000 or changes to the arrangements previously notified to the DFSA under this Rule must be notified to the DFSA as they arise.

A Trust Service Provider must without delay notify the DFSA of any one or more claims arising from one event or a series of related events in relation to the Financial Service of Providing Trust Services where the claims total in excess of $10,000

CONDITIONS

None

EFFECTIVE PERIOD

This notice comes into effect on the date of issue of this notice and remains in force until further notice.

INTERPRETATION

The provisions in this notice are to be construed in accordance with GEN section 6.2 as if these provisions are provisions of the Rulebook.

Defined terms are identified in this notice by the capitalisation of the initial letter of a word or of each word in a phrase and are defined in the Glossary (GLO). Unless the context otherwise requires, where capitalisation of the initial letter is not used, an expression has its natural meaning.

THIS NOTICE WAS ISSUED UNDER ARTICLE 25 OF THE REGULATORY LAW 2004 BY:

Name : MARTIN KINSKY
Position : MANAGING DIRECTOR, MARKETS
DATE OF ISSUE: 27 July 2009