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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
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
Notices
Financial Markets Tribunal
Archive

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  Versions
(2 versions)
 
Dec 9 2012 - Dec 31 2014Jan 1 2015 onwards

PIB 9.3.1



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) This section applies to an Authorised FirmG in CategoryG 1 or 5.
(2) The Rules in this section apply, except as provided in (3), to an Authorised FirmG on a solo basis.
(3) The DFSAG may require an Authorised FirmG to apply the requirements in this section to its Financial GroupG , if the Authorised FirmG and its Financial GroupG are subject to consolidated supervision.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM148/2014 (Made 1st January 2015). [VER23/01-15]