Entire Section

  • Endorsement to hold Client Assets or Insurance Monies

    • GEN 7.3.3

      An Authorised Firm applying for an endorsement to hold or control Client Assets must satisfy the DFSA that it has in place adequate systems and controls to meet the applicable requirements in COB sections 6.11 to 6.14.

      Derived from DFSA RM166/2016 (Made 10th February 2016). [VER36/04-16]

    • GEN 7.3.4

      An Insurance Intermediary or Insurance Manager applying for an endorsement to hold Insurance Monies must satisfy the DFSA that it has in place adequate systems and controls to meet the applicable requirements in COB section 7.12.

      Derived from DFSA RM166/2016 (Made 10th February 2016). [VER36/04-16]