GEN 4.1.2

Past version: effective up to 31/05/2007
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(1) For the purposes of GEN Rule 4.1.3 the term 'activities' means:
(a) Financial Services;
(b) activities carried on in connection with a Financial Service;
(c) activities held out as being for the purpose of a Financial Service; and
(d) in relation to any particular Principle, any activity specified in (2), (3) and (4).
(2) Principles 3 and 4 also apply in a Prudential Context to an Authorised Firm with respect to the carrying on of all its activities.
(3) Principles 3 and 4 also take into account any activities of other members of the Group of which the Authorised Firm is a member.
(4) Principle 10, to the extent that it relates to disclosing to the DFSA, also applies to an Authorised Firm with respect to the carrying on of all its activities, and takes into account any activities of other members of the Group of which the Authorised Firm is a member.

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