Entire Section

  • GEN 11.2 GEN 11.2 Waivers

    • GEN 11.2.4

      The application must contain:

      (a) the name and Licence number of the Authorised Person;
      (b) the Rule to which the application relates;
      (c) a clear explanation of the waiver that is being applied for and the reason why the Authorised Person is requesting the waiver;
      (d) details of any other requirements; for example, if there is a specific period for which the waiver is required;
      (e) the reason, if any, why the waiver should not be published or why it should be published without disclosing the identity of the Authorised Person; and
      (f) all relevant facts to support the application.

    • GEN 11.2.5

      An Authorised Person must immediately notify the DFSA if it becomes aware of any material change in circumstances which may affect the application for a waiver.