Entire Section

  • GEN 6.1 GEN 6.1 Application

    • GEN 6.1.1

      (1) Sections GEN 6.1, GEN 6.2, GEN 6.3, GEN 6.9 and GEN 6.10 apply to every Person to whom any provision in the Rulebook applies.
      (2) GEN Section 6.4 applies to every Authorised Person.
      (3) Sections GEN 6.5 and GEN 6.6 apply to every Authorised Firm, Authorised Market Institution and Person who has submitted an application for authorisation to carry on one or more Financial Services.
      (4) GEN Section 6.7 applies to any Person who has been affected by the activities of the DFSA.
      (5) GEN Section 6.8 applies to the DFSA.
      (6) Only sections 6.9 and 6.10 of this chapter apply to a Representative Office.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
      [Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
      [Amended] DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]