GEN 2.2.8

(1) A Financial Service may be carried on with or for a Retail Client only by an Authorised Firm which is permitted to do so by endorsement on its Licence.
(2) An endorsement under (1) is not required by an Authorised Firm when:
(a) Operating an Employee Money Purchase Scheme; or
(b) Acting as the Administrator of an Employee Money Purchase Scheme.
[Added] DFSA RM56/2008 & DFSA RM58/2008 (Made 1st July 2008). [VER19/07-08]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RMI260/2019 (Made 18th December 2019). [VER47/01-20]