June 2003

THESE DRAFT RULES ARE PUBLISHED FOR CONSULTATION PURPOSES ONLY. THE REGULATORY AUTHORITY RESERVES THE RIGHT TO AMEND THESE DRAFT RULES AT ITS SOLE DISCRETION. THE ENACTMENT OF THESE DRAFT RULES IS CONDITIONAL UPON THE OFFICIA PUBLICATION OF A FEDERAL DECREE AND IS SUBJECT TO THE AMENDMENT TO THE DUBAI DECREE NO. 3 OF 2002, AND THE ENACTMENT OF A DIFC Regulatory Law.

THE PRINCIPLES FOR Authorised Firms AND THE PRINCIPLES FOR Authorised Individuals OF THE DUBAI INTERNATIONAL FINANCIAL CENTRE ("DIFC")