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.