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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 4

    • PIB 1.3.6

      An Authorised FirmG is in CategoryG 4 if:

      (a) its LicenceG authorises it to carry on one or more of the Financial ServicesG of Arranging Deals in InvestmentsG , Advising on Financial ProductsG , Arranging CustodyG , Insurance IntermediationG , Insurance ManagementG , Operating an Alternative Trading SystemG , Providing Fund AdministrationG , Providing Trust ServicesG (where it is not acting as trustee in respect of an express trust), Arranging Credit and Advising on CreditG or Operating a Crowdfunding PlatformG ; and
      (b) it does not meet the criteria of CategoriesG 1, 2, 3A, 3B, 3C or 5.
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
      [Amended] DFSA RM188/2016 (Made 7th December 2016). [VER26/02-17]
      [Amended] DSFA RM203/2017 (Made 14th June 2017). [VER28/08-17]

      • PIB 1.3.6 Guidance

        An Authorised FirmG in CategoryG 4 may not be authorised to conduct any other Financial ServiceG beyond those listed in PIB Rule 1.3.6(a); if it were so authorised it would belong to another CategoryG .

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