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Dubai Financial Services Authority (DFSA): Contents

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

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(3 versions)

GEN 3.5.1 Guidance

Whole Section PDF

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 presenting information relating to past performance of a financial product or financial service, a PersonG should use a reputable independent actuarial, financial or statistical reporting service provider.
2. The effect of GEN Rule 3.5.1(2) is that a PersonG who is licensed and regulated by a Financial Services RegulatorG in the UAEG is not required to comply with GEN Rule 3.5.1(1) when communicating with an existing client or with a prospective client in relation to a Passported FundG where the DIFCG is a Host JurisdictionG . However, when making any other Financial PromotionG to a prospective client in the DIFCG , GEN Rule 3.5.1(1) does apply to such PersonsG , as do the prohibitions on the making of offers contained in the Markets Law 2012 and Collective Investment Law 2010 respectively. The exclusion in GEN Rule 3.5.1(2) applies only if the PersonG is complying with the financial promotion requirements of its Financial Services RegulatorG in the UAEG .
Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]
[Amended] DFSA RM234/2019 (Made 20th February 2019). [VER43/02-19]