GEN 2.7.4

Past version: effective up to 31/03/2018
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A Person who is not an Authorised Firm or an Authorised Market Institution does not Deal in Investments as Principal in relation to an Investment by entering into a transaction with or through an Authorised Firm or a Regulated Financial Institution.

Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]