Investment Business

Past version: effective from 28/04/2011 - 31/01/2017
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The business of:

(a) Dealing in Investments as Principal;
(b) Dealing in Investments as Agent;
(c) Arranging Credit or Deals in Investments
(d) Managing Assets;
(e) Advising on Financial Products or Credit;
(f) Managing a Collective Investment Fund;
(g) Providing Custody;
(h) Arranging Custody;
(i) Managing a Profit Sharing Investment Account;
(j) Operating an Alternative Trading System; or
(k) Acting as the Trustee of a Fund.
Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER4/08-05]
[Amended] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]