GEN 5.1.1

Past version: effective from 01/10/2007 - 02/01/2010
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(1) Subject to (5), this chapter applies to every Authorised Person with respect to the Financial Services carried on in or from the DIFC.
(2) It also applies in a Prudential Context to a Domestic Firm with respect to all its activities wherever they are carried on.
(3) GEN Section 5.3 also applies to an Authorised Firm in a Prudential Context with respect to its entire DIFC branch's activities wherever they are carried on.
(4) This chapter also applies to an Authorised Market Institution, if it has an endorsed Licence authorising it to maintain an Official List of Securities, with respect to such maintenance.
(5) GEN Rules 5.3.13, 5.3.14, 5.3.15, 5.3.23, and 5.3.24 do not apply to an Authorised ISPV.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
[Amended] DFSA RM48/2007 (Made 1st October 2007). [VER16/10-07]