Entire Section

  • Advising on Financial Products or Credit

    • GEN 10.3.5

      An Authorised Firm which, immediately before the commencement date, had an authorisation for 'Advising on Financial Products or Credit' in respect of Financial Products and credit 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 Advising on Credit; and
      (b) 'Advising on Financial Products', but only with respect to Financial Products specified on its Licence immediately before the commencement date.
      Derived DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 10.3.6

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

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

    • GEN 10.3.7

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

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