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GEN A1.1.3



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.

A sum is not a DepositG if it is received:

(a) by a lawyer acting in his professional capacity;
(b) by an accountant acting in his professional capacity;
(c) by an Authorised FirmG or an Authorised Market InstitutionG authorised under its LicenceG to carry on any one or more of the following Financial ServicesG :
(i) Dealing in Investments as PrincipalG ;
(ii) Dealing in Investments as AgentG ;
(iii) Arranging Deals in InvestmentsG ;
(iv) Managing AssetsG ;
(v) Operating a Collective Investment FundG ;
(vi) Effecting Contracts of InsuranceG ;
(vii) Carrying Out Contracts of InsuranceG ;
(viii) Operating an ExchangeG ;
(ix) Operating a Clearing HouseG ;
(x) Insurance IntermediationG ;
(xi) Insurance ManagementG ;
(xii) Managing a Profit Sharing Investment AccountG ;
(xiii) Providing Trust ServicesG ;
(xiv) Arranging Credit and Advising on CreditG ; or
(xv) Operating a Crowdfunding Platform,
in the course of or for the purpose of any such Financial ServiceG disregarding any applicable exclusions in chapter 2; or
(d) by a PersonG as consideration for the issue by him of a DebentureG .

Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER7/01-06]
[Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]
[Amended] DFSA RMI201/2017 (Made 14th June 2017). [VER40/08-17]