Entire Section

  • GEN 3.1 GEN 3.1 Application

    • GEN 3.1.2 GEN 3.1.2

      Rules GEN 3.4.1 to GEN 3.6.3 do not apply to a Person who makes an Offer which is in accordance with the requirements relating to:

      (a) an Offer of Securities under the Markets Law and the MKT Rules; or
      (b) an Offer of Units under the Collective Investment Law 2010 and CIR Rules.
      Added in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
      [Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]
      [Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

      • GEN 3.1.2 Guidance

        The purpose of the exclusion in GEN Rule 3.1.2 is to ensure that a Person who makes an Offer referred to in that Rule is not subject to duplicative requirements under this chapter. The exclusion applies only to a communication by a Person making an Offer and if that communication is subject to requirements specified in the relevant laws or Rules.

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