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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
      • International Assessment
      • Corporate Social Responsibility
    • Our structure
      • Board of Directors
      • Executive Team
      • Financial Markets Tribunal
    • DFSA Journey
  • Laws & rules
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      • Legislation
      • Consultation Papers
      • Policy Statements
      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
    • AML, CTF & Sanctions Compliance
      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
      • Disclosure Database
      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
    • Enforcement
      • About Enforcement
      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
    • Policy, Strategy and Risk
    • Recognition
      • About Recognition
      • Recognised Bodies
      • Recognised Members
    • Supervision
      • About Supervision
      • Audit Supervision
      • Cyber Risk Supervision
      • Insurance Supervision
      • Operational & Technology Risk Supervision
  • Public register
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    • Consumer
      • Investment Guide
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      • Guides & Handbooks
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DFSA Rulebook

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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
    • Recognised Jurisdictions and Funds
    • Declaration Notices
    • Financial Markets Tribunal
    • Archive
    • Rulebook Modules
      • Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER19/04-22]
      • Authorised Market Institutions (AMI) [VER21/04-22]
      • Auditor Module (AUD) [VER05/04-22]
      • Conduct of Business Module (COB) [VER39/10-21]
      • Collective Investment Rules (CIR) [VER/33/06-22]
      • Fees Module (FER) [VER26/06-22]
      • Fund Protocol Rules (FPR) [VER1/02-19]
      • General Module (GEN) [VER55/06-22]
        • GEN 1 Introduction
        • GEN 2 Financial Services
        • GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct
        • GEN 3 Financial Promotions
        • GEN 3 [Deleted]
        • GEN 4 Core Principles
        • GEN 5 Management, Systems and Controls
        • GEN 6 General Provisions
        • GEN 7 Authorisation
        • GEN 8 Accounting and Auditing
        • GEN 9 Complaints Handling and Dispute Resolution
        • GEN 10 Transitional Rules
          • GEN 10.1 Endorsements to hold client assets and insurance monies
            • Interpretation
            • Endorsement not required during transitional period
            • Grant of endorsement for Firms that already hold or control Client Assets
              • GEN 10.1.3
            • Grant of endorsement for Firms that already hold Insurance Monies
            • DFSA's powers not affected
          • GEN 10.2 Safe Custody Auditor's Report
          • GEN 10.3 Re-classification of certain Financial Services
          • GEN 10.4 Transitional Rules relating to Employee Money Purchase Schemes
          • GEN 10.1 [Deleted]
          • GEN 10.2 [Deleted]
          • GEN 10.3 [Deleted]
          • GEN 10.4 [Deleted]
          • GEN 10.6 [Deleted]
          • GEN 10.5 [Deleted]
          • GEN 10.7 [Deleted]
          • GEN 10.8 [Deleted]
          • GEN 10.9 [Deleted]
        • GEN 11 Supervision
        • GEN 12 Business Transfer Schemes
        • GEN 13 Facilitating FinTech Innovation
        • GEN App1 Deposits
        • GEN App2 Investments
        • GEN App3 Best Practice Relating to Corporate Governance and Remuneration
        • GEN App4 Contracts of Insurance
        • GEN App5 Trade Repository
        • GEN App6 Investment Tokens
        • GEN App5 [Deleted]
        • GEN App6 [Deleted]
      • Glossary Module (GLO) [VER54/06-22]
      • Islamic Finance Rules (IFR) [VER18/10-21]
      • Markets Rules (MKT) [VER18/10-21]
      • Price Stabilisation Module (PRS) [VER7/04-18]
      • Prudential — Insurance Business Module (PIN) [VER17/04-21]
      • Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER42/06-22]
      • Recovery and Resolution (RAR) [VER1/04-21]
      • Recognition (REC) [VER12/01-18]
      • Representative Office Module (REP) [VER11/09-21]
      • Takeover Rules Module (TKO) [VER08/04-20]
      • Archive
    • Sourcebook Modules
    • Consultation Papers
    • Policy Statements
    • DFSA Codes of Practice
    • Amendments to Legislation
    • Media Releases
    • Notices
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  1. Dubai Financial Services Authority (DFSA)
  2. Rulebook Modules
  3. General Module (GEN) [VER55/06-22]
  4. GEN 10 Transitional Rules
  5. GEN 10.1 Endorsements to hold client assets and insurance monies
  6. Grant of endorsement for Firms that already hold or control Client Assets
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‹ GEN 10.1.2 GEN 10.1.3 ›

Grant of endorsement for Firms that already hold or control Client Assets

  • GEN 10.1.3
‹ GEN 10.1.2 GEN 10.1.3 ›
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  • © 2020 DFSA refers to the Dubai Financial Services Authority, a body established under Dubai law as the independent regulator of financial services and related activities for the DIFC.