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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER43/02-19]
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Consultation Papers
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GEN 4.1.1



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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.

(1) The twelve Principles for Authorised FirmsG , set out in GEN section 4.2, apply subject to (2) and (3) to every Authorised FirmG in accordance with Rules GEN 4.1.2 and GEN 4.1.3.
(2) The twelve Principles for Authorised FirmsG , set out in GEN section 4.2, do not apply to an Authorised FirmG which is a Representative OfficeG .
(3) An Authorised FirmG which is a Credit Rating AgencyG does not have to comply with the Principles set out in Rules GEN 4.2.6, GEN 4.2.7, GEN 4.2.8 and GEN 4.2.9.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended]DFSA RM43/2007 (Made 1st June 2007). [VER14/06-07]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]
[Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]