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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Glossary Module (GLO) [VER44/07-19]
GLO 2 Glossary
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • Execution — Only Transaction

    A Transaction executed by an Authorised Firm upon the specific instructions of a Client where the Authorised Firm does not give advice of the kind prescribed under GEN Rule 2.11.1 in relation to the Transaction and where, in the case only of Units, the Authorised Firm has not Offered those particular Units to that Person.

    [Added] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]