Entire Section

  • Application

    • COB 3.4.1

      The Rules in this section do not apply where the Authorised Firm:

      (a) carries on a Financial Service with or for a Market Counterparty;
      (b) undertakes an Execution-Only Transaction;
      (c) undertakes the activities of Accepting Deposits or Providing Credit;
      (d) carries on an activity of the kind described in GEN Rule 2.26.1 that constitutes marketing;
      (e) carries on the activity of operating an MTF;
      (f) carries on the activity of Operating an Employee Money Purchase Scheme, or.
      (g) carries on the activity of Acting as the Administrator of an Employee Money Purchase Scheme.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
      [Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER17/01-10]
      [Amended] DFSA RM123/2013 (Made 13th June 2013). [VER22/07-13]
      [Amended] DFSA RMI259/2019 (Made 1st January 2020). [VER34/01-20]
      [Amended] DFSA RMI261/2019 (Made 18th December 2019). [VER35/01-20]