GEN 2.2.8

(1) An Authorised Firm may carry on a Financial Service with or for a Retail Client only if it is permitted to do so by an 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]
[Amended] DFSA RMI309/2021 (Made 30th June 2021). [VER53/10-21]