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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
Archive

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Up to May 31 2007Jun 1 2007 onwards

GEN 4.1.3

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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 PrinciplesG apply to an Authorised FirmG only with respect to activities carried on from an establishment maintained by it in the DIFCG , unless an extension in (2), (3), (4) or (5) applies.
(2) Where another applicable RuleG , which is relevant to the activity, has a wider territorial scope than that in (1), any related PrincipleG applies with that wider scope in relation to the activity described in the RuleG .
(3) Principles 1, 2 and 3 apply in a Prudential ContextG to an Authorised FirmG with respect to activities wherever they are carried on.
(4) Principles 4 and 11 apply to an Authorised FirmG with respect to activities wherever they are carried on.
(5) Principle 5 also applies to an Authorised FirmG with respect to the activities carried on in or from any place outside the DIFCG if and to the extent that the activities have, or might reasonably be regarded as likely to have, a negative effect on confidence in the financial markets operating in the DIFCG .
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended]DFSA RM43/2007 (Made 1st June 2007). [VER14/06-07]