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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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General Module (GEN) [VER44/07-19]
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GEN 4.1.2



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) For the purposes of GEN Rule 4.1.3 the term 'activities' means:
(a) Financial ServicesG business;
(b) activities carried on in connection with a Financial ServiceG business;
(c) activities held out as being for the purpose of a Financial ServiceG business; and
(d) in relation to any particular Principle, any activity specified in (2), (3) and (4).
(2) Principles 3 and 4 also apply in a Prudential ContextG to an Authorised FirmG with respect to the carrying on of all its activities.
(3) Principles 3 and 4 also take into account any activities of other members of the GroupG of which the Authorised FirmG is a member.
(4) Principles 10 and 11, to the extent that it relates to disclosing to the DFSAG , also applies to an Authorised FirmG with respect to the carrying on of all its activities, and takes into account any activities of other members of the GroupG of which the Authorised FirmG is a member.

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 RM95/2012 (Made 14th June 2012). [VER29/06-12]