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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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GEN 7.1.1

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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) This chapter applies, subject to (2), to every PersonG who is:
(a) an Authorised FirmG ;
(b) an applicant for a LicenceG to be an Authorised FirmG ;
(c) an Authorised IndividualG ;
(d) an applicant for Authorised IndividualG status; or
(e) a Controller of a Person referred to in (a) or (b).
(2) This chapter does not apply to a PersonG intending to:
(a) Operate an ExchangeG ;
(b) Operate a Clearing HouseG ; or
(c) Operate a Representative OfficeG .
Derived from Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RM105/2012 (Made 23rd December 2012). [VER32/12-12]