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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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PIB 1.3.6

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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.

An Authorised FirmG is in CategoryG 4 if:

(a) its LicenceG authorises it to carry on one or more of the Financial ServicesG of Arranging Deals in InvestmentsG , Advising on Financial ProductsG , Arranging CustodyG , Insurance IntermediationG , Insurance ManagementG , Operating an Alternative Trading SystemG , Providing Fund AdministrationG , Providing Trust ServicesG (where it is not acting as trustee in respect of an express trust), . . . Arranging Credit and Advising on CreditG or Operating a Crowdfunding PlatformG ; and
(b) it does not meet the criteria of CategoriesG 1, 2, 3A, 3B, 3C or 5.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM188/2016 (Made 7th December 2016). [VER26/02-17]
[Amended] DSFA RM203/2017 (Made 14th June 2017). [VER28/08-17]