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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
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)
Dec 9 2012 onwards

PIB 1.3 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. Authorised FirmsG are divided into CategoriesG to provide a clear framework for determining which specific RulesG in PIBG apply to each Authorised FirmG . The RulesG in this section enable an Authorised FirmG to determine into which CategoryG it falls.
2. The table in PIB A1.1 of PIB App1 sets out the categorisation process diagrammatically. In that table, an emboldened box indicates the Financial ServiceG that is determinative of the CategoryG into which an Authorised FirmG falls. An Authorised FirmG may, if authorised under its LicenceG to do so, conduct any number of Financial ServicesG specified under any lower CategoryG than the one that applies to the Authorised FirmG in accordance with this section (For this purpose CategoryG 5 is considered to be equivalent to CategoryG 1). For example, a CategoryG 1 firm could conduct any of the Financial ServicesG specified under CategoriesG 2, 3A, 3B, 3C or 4 (if authorised to do so). However, a CategoryG 4 firm may only conduct any of the Financial ServicesG listed under CategoryG 4 for which it is authorised.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]