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Jul 14 2015 onwards


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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.

Ordinarily, if the DFSAG has concerns about an Authorised Person's name, trading name or business description, it will write to the person explaining its concerns about the particular name and will provide the firm with a period in which to respond to its concerns. If, following receipt of any response, the DFSAG remains dissatisfied with the continued use of the particular name, the DFSAG will write to the firm and ask the firm to agree to cease using the name. The DFSAG will give the person a reasonable period of time in order to change their name. If the person does not agree to change their name or continues to use the name after the time allowed to change the name, the DFSAG will use Article 75(1)(a)(iv) of the Regulatory Law in order to prohibit the use of the name. Where a person refuses to comply with an Article 75(1)(a)(iv) notice, the DFSAG would generally seek to enforce the notice in the DIFCG Court under Article 92 of the Regulatory Law.

Derived from Notice of Updates (Made 14th July 2015). July 2015 Edition