General Module (GEN) [VER49/11-20] | Rulebook

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Dubai Financial Services Authority (DFSA)

Dubai Financial Services Authority (DFSA)

Versions

Jul 14 2013 - Aug 20 2014
Aug 21 2014 - Jan 31 2016
Feb 01 2016 - Apr 02 2016
Apr 03 2016 - Jul 31 2016
Aug 01 2016 - Jan 31 2017
Feb 01 2017 - May 23 2017
May 24 2017 - Jul 31 2017
Aug 01 2017 - Mar 31 2018
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Feb 25 2019 - Jun 30 2019
Jul 01 2019 - Dec 28 2019
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Jan 01 2020 - Jan 13 2020
Jan 14 2020 - Mar 31 2020
Apr 01 2020 - Oct 31 2020
Nov 01 2020 - Jan 31 2021
Feb 01 2021 - Apr 11 2021
Apr 12 2021

‹ FPR A1.1.2 Guidance

GEN 1 Introduction ›

General Module (GEN) [VER49/11-20]

GEN 1 Introduction
- GEN 1.1 Application
- GEN 1.2 Overview of the module
GEN 2 Financial Services
- GEN 2.1 Application
- GEN 2.2 Financial Service activities
- GEN 2.3 By way of business
- GEN 2.4 Accepting deposits
- GEN 2.5 Providing credit
- GEN 2.6 Providing Money Services
- GEN 2.7 Dealing in investments as principal
- GEN 2.8 Dealing in investments as agent
- GEN 2.9 Arranging deals in investments
- GEN 2.10 Managing assets
- GEN 2.11 Advising on financial products
- GEN 2.12 Managing a collective investment fund
- GEN 2.13 Providing custody
- GEN 2.14 Arranging custody
- GEN 2.15 Effecting contracts of insurance
- GEN 2.16 Carrying out contracts of insurance
- GEN 2.17 Operating an exchange
- GEN 2.18 Operating a clearing house
- GEN 2.19 Insurance intermediation
- GEN 2.20 Insurance management
- GEN 2.21 Managing a profit sharing investment account
- GEN 2.22 Operating an alternative trading system
- GEN 2.23 Providing Trust Services
- GEN 2.24 Providing Fund Administration
- GEN 2.25 Acting as the Trustee of a Fund
- GEN 2.26 Operating a Representative Office
- GEN 2.27 GEN 2.27 Operating a Credit Rating Agency
- GEN 2.28 Arranging Credit and Advising on Credit
- GEN 2.29 Operating a Crowdfunding Platform
- GEN 2.30 Operating an Employee Money Purchase Scheme
- GEN 2.31 Acting as the Administrator of an Employee Money Purchase Scheme
- GEN 2.32 Arranging or Advising on Money Services
GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct
- GEN 2A.1.1
GEN 3 GEN 3 Financial Promotions
- GEN 3.1 GEN 3.1 Application
- GEN 3.2 GEN 3.2 Overview
- GEN 3.3 GEN 3.3 Definition of a Financial Product
- GEN 3.4 GEN 3.4 Scope of the Financial Promotions Prohibition
- GEN 3.5 GEN 3.5 Additional Rules for Financial Promotions
- GEN 3.6 GEN 3.6 Approval of Financial Promotions by an Authorised Firm
GEN 3 [Deleted]
- GEN 3.1 [deleted]
- GEN 3.2 [deleted]
- GEN 3.3 [deleted]
GEN 4 Core Principles
- GEN 4.1 Principles for Authorised Firms — application
- GEN 4.2 The Principles for Authorised Firms
- GEN 4.3 Principles for Authorised Individuals — application
- GEN 4.4 The Principles for Authorised Individuals
GEN 5 Management, Systems and Controls
- GEN 5.1 Application
- GEN 5.2 Allocation of significant responsibilities
- GEN 5.3 Systems and controls
GEN 6 General Provisions
- GEN 6.1 Application
- GEN 6.2 Interpreting the rulebook
- GEN 6.3 Emergency
- GEN 6.4 Disclosure of regulatory status
- GEN 6.5 Location of offices
- GEN 6.6 Close links
- GEN 6.7 Complaints against the DFSA
- GEN 6.8 Public register
- GEN 6.9 Communication with the DFSA
- GEN 6.10 Provision of information to the DFSA
GEN 7 Authorisation
- GEN 7.1 Application
- GEN 7.2 Application for a Licence
- GEN 7.3 Applications for endorsements
- GEN 7.4 Licensed Functions and Authorised individuals
- GEN 7.5 Mandatory appointments
- GEN 7.6 Application for Authorised Individual status
GEN 8 Accounting and Auditing
- GEN 8.1 Application
- GEN 8.2 Financial statements and financial reporting standards
- GEN 8.3 Accounting records and regulatory returns
- GEN 8.4 Appointment and termination of Auditors
- GEN 8.5 Co-operation with Auditors
- GEN 8.6 Audit reports
- GEN 8.7 [Deleted]
- GEN 8.8 [Deleted]
- GEN 8.9 [Deleted]
- GEN 8.10 [Deleted]
- GEN 8.11 [Deleted]
- GEN 8.12 [Deleted]
- GEN 8.13 [Deleted]
- GEN 8.14 [Deleted]
- GEN 8.15 [Deleted]
- GEN 8.16 [Deleted]
- GEN 8.17 [Deleted]
- GEN 8.18 [Deleted]
GEN 9 Complaints Handling and Dispute Resolution
- GEN 9.1 Application
- GEN 9.2 Complaints handling procedures for Retail Clients
- GEN 9.3 Complaints recording procedures for Professional Clients
- GEN 9.4 Additional requirements for complaints related to Money Services
GEN 10 Transitional Rules
- GEN 10.1 Endorsements to hold client assets and insurance monies
- GEN 10.2 Safe Custody Auditor's Report
- GEN 10.3 Re-classification of certain Financial Services
- GEN 10.1 [Deleted]
- GEN 10.2 [Deleted]
- GEN 10.3 [Deleted]
- GEN 10.4 [Deleted]
- GEN 10.6 [Deleted]
- GEN 10.5 [Deleted]
- GEN 10.7 [Deleted]
- GEN 10.8 [Deleted]
- GEN 10.9 [Deleted]
GEN 11 Supervision
- Introduction
- GEN 11.1 Information gathering and DFSA access to information
- GEN 11.2 Waivers
- GEN 11.3 Application to change the scope of a Licence
- GEN 11.4 Withdrawal of a Licence at an Authorised Firm's request
- GEN 11.5 Changes to an authorised individual status
- GEN 11.6 Temporary cover
- GEN 11.7 Dismissal or resignation of an Authorised Individual
- GEN 11.8 Changes relating to control
- [deleted]
- GEN 11.10 Notifications
- GEN 11.11 [Deleted]
- GEN 11.12 Requirement to provide a report
- GEN 11.13 Imposing Restrictions on an Authorised Person's business or on an Authorised Person dealing with property
GEN 12 Business Transfer Schemes
- GEN 12 Guidance
- GEN 12.1 Modifications applying to transfer schemes
GEN 13 Facilitating FinTech Innovation
- Introduction
- Fintech businesses that can use this approach
- Authorisation
- Licence Application and Test Plan
- Creating a simplified regulatory framework
- Restrictions and conditions
- Completion of testing
- Withdrawal of Licence
- Fees
- Existing Authorised Firms that wish to test Fintech
- Partnerships with existing Authorised Firms
GEN App1 Deposits
- GEN A1.1 Definition of a deposit
GEN App2 Investments
- GEN A2.1 General definition of investments
- GEN A2.2 Definitions of specific securities
- GEN A2.3 Definitions of specific derivatives
- GEN A2.4 Financial instrument declared as an investment
GEN App3 Best Practice Relating to Corporate Governance and Remuneration
- GEN A3.1 Best practice relating to corporate governance
- GEN A3.2 Best practice relating to remuneration
GEN App4 Contracts of Insurance
- GEN A4.1 Definition of a contract of insurance
GEN App5 Trade Repository
- GEN A5.1 Requirements applicable to Trade Repositories
GEN App5 [Deleted]
- GEN A5.1 [Deleted]
- GEN A5.2 [Deleted]
- GEN A5.3 [Deleted]
- GEN A5.4 [Deleted]
GEN App6 [Deleted]
- GEN A6.1 [Deleted]

‹ FPR A1.1.2 Guidance

GEN 1 Introduction ›

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© 2020 DFSA refers to the Dubai Financial Services Authority, a body established under Dubai law as the independent regulator of financial services and related activities for the DIFC.