GEN 7.1.1 Guidance

Past version: effective from 28/04/2011 - 13/07/2013
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1. This chapter outlines DFSA's authorisation requirements for an Authorised Firm and Authorised Individual.
2. The DFSA's requirements for authorisation of :
a. Authorised Market Institutions are covered by the AMI module;
b. Representative Offices are covered by the REP module; and
c. Ancillary Service Providers are covered by the ASP module.
4. This chapter should be read in conjunction with the RPP Sourcebook which sets out DFSA's general regulatory policy and processes. Some additional processes may be outlined in other chapters of this module.
5. Chapter 2 of the RPP Sourcebook sets out DFSA's approach to the authorisation of undertakings and individuals to conduct Financial Services or Licensed Functions, as the case may be.