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  • GEN 9.1 GEN 9.1 Application

    • GEN 9.1.1

      This chapter applies to every Authorised Firm, other than a Representative Office and a Credit Rating Agency, carrying on a Financial Service in or from the DIFC as follows:

      (a) GEN Section 9.2 applies to an Authorised Firm carrying on a Financial Service with or for a Retail Client;
      (b) GEN Section 9.3 applies to an Authorised Firm carrying on a Financial Service with or for a Professional Client; and
      (c) GEN Section 9.4 sets out additional requirements that apply to an Authorised Firm carrying on the Financial Service of Providing Money Services or Arranging or Advising on Money Services.
      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]
      [Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
      [Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]
      [Amended] DFSA RMI266/2020 (Made 26th February 2020). [VER48/04-2020]