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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 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.

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(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]