GEN 7.1.1

(1) This chapter applies, subject to (2), to every Person who is:
(a) an Authorised Firm;
(b) an applicant for a Licence to be an Authorised Firm;
(c) an Authorised Individual;
(d) an applicant for Authorised Individual status; or
(e) a Controller of a Person referred to in (a) or (b).
(2) This chapter does not apply to a Person intending to:
(a) Operate an Exchange;
(b) Operate a Clearing House; or
(c) Operate a Representative Office.
Derived from Notice of Amendments to Legislation April 2011 [VER27/02-11]
[Amended] DFSA RM105/2012 (Made 23rd December 2012). [VER32/12-12]