COB 3.3.1

The Rules in this section do not apply to an Authorised Firm when it is:

(a) carrying on a Financial Service with or for a Market Counterparty;
(b) Accepting Deposits;
(c) Providing Credit;
(d) carrying on an activity of the kind described in GEN Rule 2.26.1 that constitutes marketing;
(e) a Fund Manager of a Fund Offering the Units of a Fund it manages;
(f) Operating an Employee Money Purchase Scheme;
(g) Acting as the Administrator of an Employee Money Purchase Scheme; or
(h) an ATS Operator.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER17/01-10]
[Amended] DFSA RM72/2010 (Made 11th July 2010) [VER19/07-10]
[Amended] DFSA RMI261/2019 (Made 18th December 2019). [VER35/01-20]
[Amended] DFSA RMI311/2021 (Made 30th June 2021). [VER39/10-21]