GEN 4.1.1

(1) The twelve Principles for Authorised Firms, set out in GEN section 4.2, apply subject to (2) and (3) to every Authorised Firm in accordance with Rules GEN 4.1.2 and GEN 4.1.3.
(2) The twelve Principles for Authorised Firms, set out in GEN section 4.2, do not apply to an Authorised Firm which is a Representative Office.
(3) An Authorised Firm which is a Credit Rating Agency does not have to comply with the Principles set out in Rules GEN 4.2.6, GEN 4.2.7, GEN 4.2.8 and GEN 4.2.9.
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended]DFSA RM43/2007 (Made 1st June 2007). [VER14/06-07]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER24/01-10]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]
[Amended] DFSA RM96/2012 (Made 24th July 2012) [VER30/07-12]