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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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  • Advising on Financial Products or Credit

    • GEN 10.3.5

      An Authorised FirmG which, immediately before the commencement date, had an authorisation for 'Advising on Financial Products or Credit' in respect of Financial ProductsG and credit 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 Advising on CreditG ; and
      (b) 'Advising on Financial Products', but only with respect to Financial ProductsG specified on its LicenceG immediately before the commencement date.
      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 10.3.6

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

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

    • GEN 10.3.7

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

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