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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

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(3 versions)

PIB A1.1 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. This section contains the table referred to in the GuidanceG notes at the commencement of PIB section 1.3 of PIBG . This table is for guidance purposes only.
2. The Financial ServicesG described in the emboldened boxes in the table are the determinants for the prudential CategoryG . The activities set out in the boxes in the table are Financial ServicesG (see GEN chapter 2). The Financial ServicesG that an Authorised FirmG is authorised to carry on are specified on its LicenceG .
3. If a PersonG carries on any one or more of the Financial ServicesG specified in an emboldened box under a particular CategoryG , then the highest such CategoryG is that Person'sG CategoryG for the purposes of this module.
4. An exception to the above is an Islamic Financial InstitutionG which Manages a PSIAG which is an PSIAuG . Such an institution falls in CategoryG 5.
CategoryG 1 CategoryG 2 CategoryG 3A CategoryG 3B CategoryG 3C CategoryG 4 CategoryG 5
Accepting DepositsG Dealing in Investments as PrincipalG (not as Matched PrincipalG ) Dealing in Investments as PrincipalG (only as a Matched PrincipalG ) Providing CustodyG (only if for a FundG ) Managing a Collective Investment FundG Arranging Deals in InvestmentsG An Islamic Financial InstitutionG which Manages a PSIAuG
Managing a PSIAuG Providing CreditG Dealing as AgentG Acting as the Trustee of a FundG Managing AssetsG Advising on Financial ProductsG
  Providing Trust ServicesG as a trustee of an express trust Arranging CustodyG
Managing a PSIArG Insurance IntermediationG
Providing CustodyG (other than for a FundG ) Insurance ManagementG
  Operating an Alternative Trading SystemG
Providing Fund AdministrationG
Providing Trust ServicesG other than as a trustee of an express trust
Arranging Credit and Advising on CreditG
Operating a Crowdfunding PlatformG
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]