Entire Section

  • Arranging Credit or Deals in Investments

    • GEN 10.3.2

      An Authorised Firm which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' in respect of both credit and Investments is, on the commencement date, taken to have the following authorisations:

      (a) 'Arranging Credit and Advising on Credit' so far as that authorisation relates to Arranging Credit; and
      (b) 'Arranging Deals in Investments', but only with respect to the Investments specified on its Licence immediately before the commencement date.
      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 10.3.3

      An Authorised Firm which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' only in respect of credit (and not Investments) is, on the commencement date, taken to have an authorisation for 'Arranging Credit and Advising on Credit' so far as that authorisation relates to Arranging Credit.

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

    • GEN 10.3.4

      An Authorised Firm which, immediately before the commencement date, had an authorisation for 'Arranging Credit or Deals in Investments' in respect of Investments (and not credit), is, on the commencement date, taken to have an authorisation for 'Arranging Deals in Investments', but only with respect to the Investments specified on its Licence immediately before the commencement date.

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