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Up to Jul 4 2012Jul 5 2012 onwards

Part 3: Licences, Authorisation and Registration

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To view past versions of this module in PDF format, please visit the Archive.

Chapter 1 — The Framework of Regulation
41. The Financial Services Prohibition
41A. Financial Promotions Prohibition
41B. General prohibition against misconduct
42. Authorised Firms, Authorised Market Institutions and Financial Services
43. Licensed Functions of Authorised Persons
44. Prohibition relating to Endorsements
Chapter 2 — Applications for a Licence
45. Application for a Licence, Extension to a Licence or an Endorsement
46. Providing Information in relation to the Application
47. Rejection of an Application
48. Grant of an application
Chapter 3 — Conditions and Restrictions on a Licence
49. Applying Conditions and Restrictions to a Licence
Chapter 4 — Withdrawal or Suspension of a Licence or an Authorisation or Endorsement under a Licence
50. Withdrawing an Authorisation under, or Endorsement on, a Licence
51. Withdrawing a Licence
52. Suspension of Authorisation, Endorsement or Licence
Chapter 5 — Authorised Individual and Key Individual Status
53. Applications for Authorised Individual or Key Individual status
54. Providing Information in relation to the Application
55. [Deleted]
56. Grant or rejection of an application for authorised status
Chapter 6 — [Deleted]
57. [Deleted]
Chapter 7 — Restriction, Suspension and Withdrawal of Authorised Individual or Key Individual Status
58. Suspending or Withdrawing Authorisations
59. Restricting persons from performing functions in the DIFC
Chapter 8 — Registration of Ancillary Service Providers and DNFBPs
Chapter 9 — [DELETED]
Chapter 10 — Other Matters Relating to Licensing
62. Public Registers
63. Extended jurisdiction