GEN 7.1.1 Guidance
Past version: effective from 28/04/2011 - 13/07/2013
To view other versions open the versions tab on the right
1. This chapter outlines
DFSA's authorisation requirements for an Authorised Firm and Authorised Individual.
DFSA's requirements for authorisation of :
Authorised Market Institutions are covered by the AMI module;
Representative Offices are covered by the REP module; and
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.
Derived from Notice of Amendments to Legislation April 2011 [VER27/02-11]