Investment Business

The business of:

(a) Dealing in Investments as Principal;
(b) Dealing in Investments as Agent;
(c) Arranging Deals in Investments;
(d) Managing Assets;
(e) Advising on Financial Products;
(f) Managing a Collective Investment Fund;
(g) Providing Custody;
(h) Arranging Custody;
(i) Managing a Profit Sharing Investment Account;
(j) Operating an Alternative Trading System;
(k) Acting as the Trustee of a Fund; or
(l) Arranging Credit and Advising on Credit.
Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER4/08-05]
[Amended] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]
[Amended] DFSA RM187/2016 (Made 7th December 2016). [VER37/02-17]