GEN 2.9.1

(1) In GEN Rule 2.2.2, Arranging Deals in Investments means making arrangements with a view to another Person buying, selling, subscribing for or underwriting an Investment(whether that other Person is acting as principal or agent).
(2) The arrangements in (1) include:
(a) arrangements which do not bring about the transaction; and
(b) arrangements comprising or involving the receipt and transmission of Client orders in relation to Investments.
(3) The arrangements in (1) do not include arrangements which amount to Operating an Alternative Trading System.
(4) In this Rule and in Rules 2.9.2 to 2.9.7, an "Investment" includes rights under a contract of Long-Term Insurance, that is not a contract of reinsurance.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] [VER4/08-05]
[Amended] [VER10/06-06]
[Amended] DFSA RM49/2007 (Made 1st October 2007). [VER16/10-07]
[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]
[Amended] DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]
[Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]