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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER44/07-19]
GLO 2 Glossary
[ I ] [IFR—Issuer]
Investment Business
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

Whole SectionText only Print Print Manager Link


Investment Business



Whole Section PDF

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.

The business of:

(a) Dealing in Investments as PrincipalG ;
(b) Dealing in Investments as AgentG ;
(c) Arranging Deals in InvestmentsG ;
(d) Managing AssetsG ;
(e) Advising on Financial ProductsG ;
(f) Managing a Collective Investment FundG ;
(g) Providing CustodyG ;
(h) Arranging CustodyG ;
(i) Managing a Profit Sharing Investment AccountG ;
(j) Operating an Alternative Trading SystemG ;
(k) Acting as the Trustee of a FundG ; or
(l) Arranging Credit and Advising on CreditG .
Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER4/08-05]
[Amended] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]
[Amended] DFSA RM187/2016 (Made 7th December 2016). [VER37/02-17]