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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER43/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
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  • Endorsement to hold Client Assets or Insurance Monies

    • GEN 7.3.3

      An Authorised FirmG applying for an endorsement to hold or control Client AssetsG must satisfy the DFSA that it has in place adequate systems and controls to meet the applicable requirements in COB sections 6.11 to 6.14.

      Derived from DFSA RM166/2016 (Made 10th February 2016). [VER36/04-16]

    • GEN 7.3.4

      An Insurance IntermediaryG or Insurance ManagerG applying for an endorsement to hold Insurance MoniesG must satisfy the DFSAG that it has in place adequate systems and controls to meet the applicable requirements in COB section 7.12.

      Derived from DFSA RM166/2016 (Made 10th February 2016). [VER36/04-16]