GEN 7.1.1 Guidance
1. This chapter outlines
DFSA's authorisation requirements for an Authorised Firm and Authorised Individual.
DFSA's requirements for authorisation of:
Authorised Market Institutions are covered by the AMI module; and
Representative Offices are covered by the REP module.
DFSA's requirements for registration of DNFBPs are found in the AML module.
4. This chapter should be read in conjunction with the RPP Sourcebook which sets out
DFSA's general regulatory policy and processes. Some additional processes may be outlined in other chapters of this module.
5. Chapter 2 of the RPP Sourcebook sets out
DFSA's approach to the authorisation of undertakings and individuals to conduct Financial Services or Licensed Functions, as the case may be.