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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • GEN 6.4 Disclosure of regulatory status

    • GEN 6.4.1

      An Authorised PersonG must not misrepresent its status expressly or by implication.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]

    • GEN 6.4.2

      (1) An Authorised PersonG must take reasonable care to ensure that every key business document which is in connection with the Authorised PersonG carrying on a Financial ServiceG in or from the DIFCG includes one of the disclosures under this RuleG .
      (2) A key business document includes letterhead whether issued by post, fax or electronic means, terms of business, client agreements, written promotional materials, business cards, prospectuses and websites but does not include compliment slips, account statements or text messages.
      (3) The disclosure required under this RuleG is:
      (a) 'Regulated by the Dubai Financial Services Authority'; or
      (b) 'Regulated by the DFSAG '.
      (4) The DFSAG logo must not be reproduced without express written permission from the DFSAG and in accordance with any conditions for use.
      (5) Rules GEN 6.4.2(1) to (4) also apply to the operation and administration of an Official List of SecuritiesG by an Authorised Market InstitutionG .
      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]