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Dubai Financial Services Authority (DFSA): Contents

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

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  • GEN 9.1 Application

    • GEN 9.1.1

      This chapter applies to every Authorised FirmG , other than a Representative OfficeG and a Credit Rating AgencyG , carrying on a Financial ServiceG in or from the DIFCG as follows.

      (a) GEN Section 9.2 applies to an Authorised FirmG carrying on a Financial ServiceG with or for a Retail ClientG ; and
      (b) GEN Section 9.3 applies to an Authorised FirmG carrying on a Financial ServiceG with or for a Professional ClientG .
      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]
      [Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
      [Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]