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  • 2009

    • RM68/2009 DIFC Representative Office Regime Rules Instrument (No. 68) 2009

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement

      This instrument shall come into force on 3 January 2010.

      Amendments to Rulebook Module

      (1) Anti Money Laundering (AML) — AML/VER5/09-08 is amended in accordance with Appendix 2 to this instrument and the module as amended by this instrument may be identified by the following reference — AML/VER6/01-10.
      (2) Authorisation Module (AUT) — AUT/VER11/08-09 is amended in accordance with Appendix 3 to this instrument and the module as amended by this instrument may be identified by the following reference — AUT/VER12/01-10.
      (3) Collective Investment Rules (CIR) — CIR/VER10/11-08 is amended in accordance with Appendix 4 to this instrument and the module as amended by this instrument may be identified by the following reference — CIR/VER11/01-10.
      (4) Conduct of Business Module (COB) — COB/VER16/08-09 is amended in accordance with Appendix 5 to this instrument and the module as amended by this instrument may be identified by the following reference — COB/VER17/01-10.
      (5) General Module (GEN) — GEN/VER23/08-09 is amended in accordance with Appendix 6 to this instrument and the module as amended by this instrument may be identified by the following reference — GEN/VER24/01-10.
      (6) Glossary Module (GLO) — GLO/VER21/08-09 is amended in accordance with Appendix 7 to this instrument and the module as amended by this instrument may be identified by the following reference — GLO/VER22/01-10.
      (7) Prudential — Investment, Insurance Intermediation and Banking Module (PIB) — PIB/VER14/07-08 is amended in accordance with Appendix 8 to this instrument and the module as amended by this instrument may be identified by the following reference — PIB/VER15/01-10.
      (8) Supervision Module (SUP) — SUP/VER5/06-07 is amended in accordance with Appendix 9 to this instrument and the module as amended by this instrument may be identified by the following reference — SUP/VER6/01-10.

      Citation

      (9) This instrument may be cited as the DIFC Representative Office Regime Rules Instrument (No. 68) 2009.
      (10) Appendix 1 to this instrument may be cited as the Representative Office Regime Rules or REP.
      (11) This version of Rules in Appendix 1 to this instrument may be identified by the following reference — REP/VER1/01-10.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      November 2009
      RM68/2009

    • RM67/2009 Enhancements to the Fees Module Rules Instrument (No. 67) 2009

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement

      This instrument shall come into force on 25 November 2009.

      Amendments to Rulebook Module

      (1) Fees Module (FER) – FER/VER2/11-08 is amended in accordance with Appendix 1 to this instrument and the module as amended by this instrument may be identified by the following reference – FER/VER3/11-09.

      Citation

      (2) This instrument may be cited as the Enhancements to the Fees Module Rules Instrument (No. 67) 2009.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      November 2009
      RM67/2009

    • RM66/2009 Enhancements to Client Asset Protection Provisions Rules Instrument (No.66) 2009

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement

      This instrument shall come into force on 1 August 2009.

      Amendments to Rulebook Modules

      (1) Conduct of Business Module (COB) – COB/VER15/01-09 is amended in accordance with Appendix 1 to this instrument and the module as amended by this instrument may be identified by the following reference – COB/VER16/08-09.
      (2) General Module (GEN) – GEN/VER22/01-09 is amended in accordance with Appendix 2 to this instrument and the module as amended by this instrument may be identified by the following reference – GEN/VER23/08-09.
      (3) Glossary Module (GLO) – GLO/VER20/01-09 is amended in accordance with Appendix 3 to this instrument and the module as amended by this instrument may be identified by the following reference – GLO/VER21/08-09.

      Citation

      (4) This instrument may be cited as the Enhancements To Client Asset Protection Provisions Rules Instrument (No. 66) 2009

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      June 2009
      RM66/2009

    • RM65/2009 Enhancements to the Controller and Compliance Officer Provisions Rules Instrument (No. 65) 2009

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement

      This instrument shall come into force 1 August 2009

      Amendments to Rulebook Modules

      (1) Authorisation Module (AUT) – AUT/VER10/07-08 is amended in accordance with Appendix 1 to this instrument and the module as amended by this instrument may be identified by the following reference – AUT/VER11/08-09

      Citation

      (2) This instrument may be cited as the Enhancements to the Controller and Compliance Officer Provisions Rules Instrument (No. 65) 2009

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      June 2009
      RM65/2009