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General Module (GEN) [VER34/06-14]

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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.

Past version: effective from Aug 21 2014 - Jan 31 2016.
To view other versions open the versions tab on the right.


Contents:
GEN 1 Introduction
GEN 1.1 Application
GEN 1.2 Overview of the module
GEN 2 Financial Services
GEN 2.1 Application
GEN 2.2 Financial Service activities
GEN 2.3 By way of business
GEN 2.4 Accepting deposits
GEN 2.5 Providing credit
GEN 2.6 Providing money services
GEN 2.7 Dealing in investments as principal
GEN 2.8 Dealing in investments as agent
GEN 2.9 Arranging deals in investments
GEN 2.10 Managing assets
GEN 2.11 Advising on financial products
GEN 2.12 Managing a collective investment fund
GEN 2.13 Providing custody
GEN 2.14 Arranging custody
GEN 2.15 Effecting contracts of insurance
GEN 2.16 Carrying out contracts of insurance
GEN 2.17 Operating an exchange
GEN 2.18 Operating a clearing house
GEN 2.19 Insurance intermediation
GEN 2.20 Insurance management
GEN 2.21 Managing a profit sharing investment account
GEN 2.22 Operating an alternative trading system
GEN 2.23 Providing Trust Services
GEN 2.24 Providing Fund Administration
GEN 2.25 Acting as the Trustee of a Fund
GEN 2.26 Operating a Representative Office
GEN 2.27 Operating a Credit Rating Agency
GEN 2.28 Arranging Credit and Advising on Credit
GEN 2.29 Operating a Crowdfunding Platform
GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct
GEN 2A.1.1
GEN 3 Financial Promotions
GEN 3.1 Application
GEN 3.2 Overview
GEN 3.3 Definition of a Financial Product
GEN 3.4 Scope of the Financial Promotions Prohibition
GEN 3.5 Additional Rules for Financial Promotions
GEN 3.6 Approval of Financial Promotions by an Authorised Firm
GEN 3 [Deleted]
GEN 3.1 [deleted]
GEN 3.2 [deleted]
GEN 3.3 [deleted]
GEN 4 Core Principles
GEN 4.1 Principles for Authorised Firms — application
GEN 4.2 The Principles for Authorised Firms
GEN 4.3 Principles for Authorised Individuals — application
GEN 4.4 The Principles for Authorised Individuals
GEN 5 Management, Systems and Controls
GEN 5.1 Application
GEN 5.2 Allocation of significant responsibilities
GEN 5.3 Systems and controls
GEN 6 General Provisions
GEN 6.1 Application
GEN 6.2 Interpreting the rulebook
GEN 6.3 Emergency
GEN 6.4 Disclosure of regulatory status
GEN 6.5 Location of offices
GEN 6.6 Close links
GEN 6.7 Complaints against the DFSA
GEN 6.8 Public register
GEN 6.9 Communication with the DFSA
GEN 6.10 Provision of information to the DFSA
GEN 7 Authorisation
GEN 7.1 Application
GEN 7.2 Application for a Licence
GEN 7.3 Applications for endorsements
GEN 7.4 Licensed Functions and Authorised individuals
GEN 7.5 Mandatory appointments
GEN 7.6 Application for Authorised Individual status
GEN 8 Accounting and Auditing
GEN 8.1 Application
GEN 8.2 Financial statements and financial reporting standards
GEN 8.3 Accounting records and regulatory returns
GEN 8.4 Appointment and termination of Auditors
GEN 8.5 Co-operation with Auditors
GEN 8.6 Audit reports
GEN 8.7 [Deleted]
GEN 8.8 [Deleted]
GEN 8.9 [Deleted]
GEN 8.10 [Deleted]
GEN 8.11 [Deleted]
GEN 8.12 [Deleted]
GEN 8.13 [Deleted]
GEN 8.14 [Deleted]
GEN 8.15 [Deleted]
GEN 8.16 [Deleted]
GEN 8.17 [Deleted]
GEN 8.18 [Deleted]
GEN 9 Complaints Handling and Dispute Resolution
GEN 9.1 Application
GEN 9.2 Complaints handling procedures for Retail Clients
GEN 9.3 Complaints recording procedures for Professional Clients
GEN 10 Transitional Rules
GEN 10.1 Endorsements to hold client assets and insurance monies
GEN 10.2 Safe Custody Auditor's Report
GEN 10.3 Re-classification of certain Financial Services
GEN 10.1 [Deleted]
GEN 10.2 [Deleted]
GEN 10.3 [Deleted]
GEN 10.4 [Deleted]
GEN 10.5 [Deleted]
GEN 10.6 [Deleted]
GEN 10.7 [Deleted]
GEN 10.8 [Deleted]
GEN 10.9 [Deleted]
GEN 11 Supervision
Introduction
GEN 11.1 Information gathering and DFSA access to information
GEN 11.2 Waivers
GEN 11.3 Application to change the scope of a Licence
GEN 11.4 Withdrawal of a Licence at an Authorised Firm's request
GEN 11.5 Changes to an authorised individual status
GEN 11.6 Temporary cover
GEN 11.7 Dismissal or resignation of an Authorised Individual
GEN 11.8 Changes relating to control
GEN 11.9 Creation of additional cells of a protected cell company for an Insurer
GEN 11.10 Notifications
GEN 11.11 [Deleted]
GEN 11.12 Requirement to provide a report
GEN 11.13 Imposing Restrictions on an Authorised Person's business or on an Authorised Person dealing with property
GEN 12 Business Transfer Schemes
GEN 12 Guidance
GEN 12.1 Modifications applying to transfer schemes
GEN 13 Facilitating FinTech Innovation
Introduction
Fintech businesses that can use this approach
Authorisation
Licence Application and Test Plan
Creating a simplified regulatory framework
Restrictions and conditions
Completion of testing
Withdrawal of Licence
Fees
Existing Authorised Firms that wish to test Fintech
Partnerships with existing Authorised Firms
GEN App1 Deposits
GEN A1.1 Definition of a deposit
GEN App2 Investments
GEN A2.1 General definition of investments
GEN A2.2 Definitions of specific securities
GEN A2.3 Definitions of specific derivatives
GEN A2.4 Financial instrument declared as an investment
GEN App3 Best Practice Relating to Corporate Governance and Remuneration
GEN A3.1 Best practice relating to corporate governance
GEN A3.2 Best practice relating to remuneration
GEN App4 Contracts of Insurance
GEN A4.1 Definition of a contract of insurance
GEN App5 Trade Repository
GEN A5.1 Requirements applicable to Trade Repositories
GEN App5 [Deleted]
GEN A5.1 [Deleted]
GEN A5.2 [Deleted]
GEN A5.3 [Deleted]
GEN A5.4 [Deleted]
GEN App6 [Deleted]
GEN A6.1 [Deleted]