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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
Media Releases
Notices
Financial Markets Tribunal
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  • Arranging Credit or Deals in Investments

    • GEN 10.3.2

      An Authorised FirmG which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' in respect of both credit and InvestmentsG is, on the commencement date, taken to have the following authorisations:

      (a) 'Arranging Credit and Advising on Credit' so far as that authorisation relates to Arranging CreditG ; and
      (b) 'Arranging Deals in Investments', but only with respect to the InvestmentsG specified on its LicenceG immediately before the commencement date.
      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 10.3.3

      An Authorised FirmG which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' only in respect of credit (and not InvestmentsG ) is, on the commencement date, taken to have an authorisation for 'Arranging Credit and Advising on Credit' so far as that authorisation relates to Arranging CreditG .

      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 10.3.4

      An Authorised FirmG which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' in respect of InvestmentsG (and not credit), is, on the commencement date, taken to have an authorisation for 'Arranging Deals in Investments', but only with respect to the InvestmentsG specified on its LicenceG immediately before the commencement date.

      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]