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Dubai Financial Services Authority (DFSA): Contents

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

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GEN 5.1.1

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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) Subject to (5), this chapter applies to every Authorised PersonG with respect to the Financial ServicesG carried on in or from the DIFCG .
(2) It also applies in a Prudential ContextG to a Domestic FirmG with respect to all its activities wherever they are carried on.
(3) GEN Section 5.3 also applies to an Authorised FirmG in a Prudential ContextG with respect to its entire DIFCG branch's activities wherever they are carried on.
(4) This chapter also applies to an Authorised Market InstitutionG , if it has an endorsed LicenceG authorising it to maintain an Official List of SecuritiesG , with respect to such maintenance.
(5) GEN Rules 5.3.13, 5.3.14, 5.3.15, 5.3.23, 5.3.24, 5.3.30 and 5.3.31 do not apply to an Authorised ISPVG .
(6) This chapter does not apply to a Representative OfficeG .
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
[Amended] DFSA RM48/2007 (Made 1st October 2007). [VER16/10-07]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]