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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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  • GEN 3.6 Approval of Financial Promotions by an Authorised Firm

    • GEN 3.6.1

      For the purposes of GEN Rule 3.4.1(4)(a) and (b), an Authorised FirmG must not approve a Financial PromotionG unless:

      (a) the Financial PromotionG includes a clear and prominent statement that it has been "approved by" the relevant Authorised FirmG ; and
      (b) the Financial PromotionG is made in accordance with the requirements in GEN Section 3.5.
      Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
      [Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 3.6.2

      An Authorised FirmG must not approve a Financial PromotionG which is directed at a PersonG who appears on reasonable grounds to be a Retail ClientG unless:

      (a) it has an endorsement on its LicenseG which permits it to carry on a Financial ServiceG with or for a Retail ClientG ; and
      (b) the scope of its LicenseG includes the Financial ServiceG and, if applicable, the particular financial product, to which the Financial PromotionG relates.
      Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]

    • GEN 3.6.3

      An Authorised FirmG must ensure that a Financial PromotionG it has approved complies with the requirements in this chapter on an on-going basis.

      Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]

      • GEN 3.6.3 Guidance

        An Authorised FirmG which proposes to approve a Financial PromotionG where all or part of that promotion will be real time, such as a live event, will need to consider whether it is able to comply effectively with any relevant RulesG in relation to the Financial PromotionG or its approval.

        Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]