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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
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      • Executive Team
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      • Policy Statements
      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
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      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
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      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
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      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
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      • Recognised Bodies
      • Recognised Members
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      • Operational & Technology Risk Supervision
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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
    • Recognised Jurisdictions and Funds
    • Declaration Notices
    • Financial Markets Tribunal
    • Archive
    • Rulebook Modules
      • Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER19/04-22]
      • Authorised Market Institutions (AMI) [VER21/04-22]
      • Auditor Module (AUD) [VER05/04-22]
      • Conduct of Business Module (COB) [VER39/10-21]
      • Collective Investment Rules (CIR) [VER/33/06-22]
      • Fees Module (FER) [VER26/06-22]
      • Fund Protocol Rules (FPR) [VER1/02-19]
      • General Module (GEN) [VER55/06-22]
        • GEN 1 Introduction
        • GEN 2 Financial Services
          • GEN 2.1 Application
          • GEN 2.2 Financial Service activities
            • GEN 2.2.1
            • GEN 2.2.2
              • GEN 2.2.2 Guidance
            • GEN 2.2.3
            • Permitted Financial Services for Authorised Firms
            • Permitted Financial Services for Authorised Market Institutions
            • Other permitted activities
          • GEN 2.3 By way of business
          • GEN 2.4 Accepting deposits
          • GEN 2.5 Providing credit
          • GEN 2.6 Providing Money Services
          • GEN 2.7 Dealing in investments as principal
          • GEN 2.8 Dealing in investments as agent
          • GEN 2.9 Arranging deals in investments
          • GEN 2.10 Managing assets
          • GEN 2.11 Advising on financial products
          • GEN 2.12 Managing a collective investment fund
          • GEN 2.13 Providing custody
          • GEN 2.14 Arranging custody
          • GEN 2.15 Effecting contracts of insurance
          • GEN 2.16 Carrying out contracts of insurance
          • GEN 2.17 Operating an exchange
          • GEN 2.18 Operating a clearing house
          • GEN 2.19 Insurance intermediation
          • GEN 2.20 Insurance management
          • GEN 2.21 Managing a profit sharing investment account
          • GEN 2.22 Operating an alternative trading system
          • GEN 2.23 Providing Trust Services
          • GEN 2.24 Providing Fund Administration
          • GEN 2.25 Acting as the Trustee of a Fund
          • GEN 2.26 Operating a Representative Office
          • GEN 2.27 Operating a Credit Rating Agency
          • GEN 2.28 Arranging Credit and Advising on Credit
          • GEN 2.29 Operating a Crowdfunding Platform
          • GEN 2.30 Operating an Employee Money Purchase Scheme
          • GEN 2.31 Acting as the Administrator of an Employee Money Purchase Scheme
          • GEN 2.32 Arranging or Advising on Money Services
        • GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct
        • GEN 3 Financial Promotions
        • GEN 3 [Deleted]
        • GEN 4 Core Principles
        • GEN 5 Management, Systems and Controls
        • GEN 6 General Provisions
        • GEN 7 Authorisation
        • GEN 8 Accounting and Auditing
        • GEN 9 Complaints Handling and Dispute Resolution
        • GEN 10 Transitional Rules
        • GEN 11 Supervision
        • GEN 12 Business Transfer Schemes
        • GEN 13 Facilitating FinTech Innovation
        • GEN App1 Deposits
        • GEN App2 Investments
        • GEN App3 Best Practice Relating to Corporate Governance and Remuneration
        • GEN App4 Contracts of Insurance
        • GEN App5 Trade Repository
        • GEN App6 Investment Tokens
        • GEN App5 [Deleted]
        • GEN App6 [Deleted]
      • Glossary Module (GLO) [VER54/06-22]
      • Islamic Finance Rules (IFR) [VER18/10-21]
      • Markets Rules (MKT) [VER18/10-21]
      • Price Stabilisation Module (PRS) [VER7/04-18]
      • Prudential — Insurance Business Module (PIN) [VER17/04-21]
      • Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER42/06-22]
      • Recovery and Resolution (RAR) [VER1/04-21]
      • Recognition (REC) [VER12/01-18]
      • Representative Office Module (REP) [VER11/09-21]
      • Takeover Rules Module (TKO) [VER08/04-20]
      • Archive
    • Sourcebook Modules
    • Consultation Papers
    • Policy Statements
    • DFSA Codes of Practice
    • Amendments to Legislation
    • Media Releases
    • Notices
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  1. Dubai Financial Services Authority (DFSA)
  2. Rulebook Modules
  3. General Module (GEN) [VER55/06-22]
  4. GEN 2 Financial Services
  5. GEN 2.2 Financial Service activities
  6. GEN 2.2.2
  7. GEN 2.2.2 Guidance
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  Versions

 
  • Jan 03 2010
  • Apr 27 2011
  • Apr 28 2011
‹ GEN 2.2.2 GEN 2.2.3 ›

GEN 2.2.2 Guidance

Note that the ambit of these activities in GEN Rule 2.2.2 may be restricted under COB, AMI or REP and may be fettered by the continuing operation of the Federal Law.


Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
‹ GEN 2.2.2 GEN 2.2.3 ›
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