General Module (GEN) [VER49/11-20]
- GEN 1 Introduction
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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 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 3 Financial Promotions
- GEN 3 [Deleted]
- GEN 4 Core Principles
- GEN 5 Management, Systems and Controls
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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
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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
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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 10.4 Transitional Rules relating to Employee Money Purchase Schemes
- 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]
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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
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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 App2 Investments
- GEN App3 Best Practice Relating to Corporate Governance and Remuneration
- GEN App4 Contracts of Insurance
- GEN App5 Trade Repository
- GEN App6 Investment Tokens
- GEN App5 [Deleted]
- GEN App6 [Deleted]