GEN 10.1.1

Past version: effective from 23/12/2012 - 02/04/2016
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This chapter applies as follows:

(a) GEN Rule 10.1.2 and sections GEN 10.2, GEN 10.3, GEN 10.4 and GEN 10.5 apply to every Person to whom a provision of the Previous Regime applied;
(b) GEN Rule 10.6.2 applies to a Person who has been authorised to carry on a Financial Service in respect of a Designated Investment as defined in GEN Rule 10.6.1;
(c) GEN Rule 10.6.3 applies to a Reporting Entity which has its Designated Investments included in an Official List of Securities of an Authorised Market Institution and to an Authorised Market Institution where its Official List of Securities includes Designated Investments as defined in GEN Rule 10.6.1;
(d) Rule 10.7.2 applies to every Authorised Person in respect of the corporate governance requirement in Rule 5.3.30 and the remuneration related requirement Rule 5.3.31;
(e) Rule 10.8.1 applies to an Authorised Person who has been authorised to conduct Islamic Financial Business as an Islamic Financial Institution or to operate an Islamic Window; and
(f) Section 10.9 applies to a Person who is the subject of a notice issued by the DFSA under Article 90 or 91 of the Regulatory Law 2004 prior to the date on which this rule came into force.
[Added] DFSA RM58/2008 (Made 1st July 2008). [VER19/07-08]
[Amended] DFSA RM62/2008 (Made 4th January 2009). [VER22/01-09]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]
[Amended] DFSA RM105/2012 (Made 23rd December 2012). [VER32/12-12]