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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • Category 3B

    • PIB 1.3.4

      An Authorised FirmG is in CategoryG 3B if:

      (a) its LicenceG authorises it to carry on one or more of the Financial ServicesG of:
      (i) Providing CustodyG (where it does so for a FundG ); or
      (ii) Acting as the Trustee of a FundG ; and
      (b) it does not meet the criteria of CategoriesG 1, 2, 3A or 5.
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

      • PIB 1.3.4 Guidance

        A CategoryG 3B Authorised FirmG may be authorised to conduct other Financial ServicesG , but it is the authorisation for Providing CustodyG for a FundG or Acting as Trustee of a FundG , and the absence of authorisation for the activities specified in Rules PIB 1.3.1, PIB 1.3.2 and PIB 1.3.3 that are determinative of its belonging to CategoryG 3B.

        Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]