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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

Whole SectionText only Print Print Manager Link

(1 version)
Apr 28 2011 onwards

GEN 3.6.2

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.

An Authorised FirmG must not approve a Financial PromotionG which is directed at a PersonG who appears on reasonable grounds to be a Retail ClientG unless:

(a) it has an endorsement on its LicenseG which permits it to carry on a Financial ServiceG with or for a Retail ClientG ; and
(b) the scope of its LicenseG includes the Financial ServiceG and, if applicable, the particular financial product, to which the Financial PromotionG relates.
Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]