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COB 14.4.1

This section applies to an Authorised Firm which carries on any one or more of the following Financial Services in respect of Investment Tokens:

(a) Dealing in Investments as Principal;
(b) Dealing in Investments as Agent;
(c) Arranging Deals in Investments;
(d) Managing Assets;
(e) Advising on Financial Products;
(f) Providing Custody; or
(g) Arranging Custody.

 

Derived from DFSA RMI311/2021 (Made 30th June 2021). [VER39/10-21]