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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
General Module (GEN) [VER46/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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GEN 7 Authorisation

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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.

GEN 7.1 Application
GEN 7.1.1
GEN 7.2 Application for a Licence
GEN 7.2.1
GEN 7.2.2
GEN 7.2.3
GEN 7.2.4
Consideration and assessment of applications
Adequate resources
Fitness and propriety
Compliance arrangements
GEN 7.3 Applications for endorsements
Carrying on service with or for a Retail Client
Acting as a Trade Repository
Endorsement to hold Client Assets or Insurance Monies
Endorsement relating to Long-Term Insurance
GEN 7.4 Licensed Functions and Authorised individuals
GEN 7.4.1
Senior Executive Officer
Licensed Director
Licensed Partner
Finance Officer
Compliance Officer
Senior Manager
Money Laundering Reporting Officer
Responsible Officer
GEN 7.5 Mandatory appointments
GEN 7.5.1
GEN 7.5.2
GEN 7.5.3
GEN 7.5.4
GEN 7.5.5
GEN 7.6 Application for Authorised Individual status
GEN 7.6.1
GEN 7.6.2
Consideration and assessment of applications
Systems and controls