PIB 6.1.1

This chapter applies to an Authorised Firm as follows:

(a) PIB Sections 6.1 to 6.9 apply to an Authorised Firm in any Category;
(b) PIB Sections 6.10 and 6.11 apply only to an Authorised Firm in Category 1, 2, 3A or 5;
(c) PIB section 6.12 applies only to an Authorised Firm in Category 3B, 3C, 3D or 4 which undertakes one or more of the following Financial Services:
(i) Arranging Deals in Investments;
(ii) Managing Assets;
(iii) Advising on Financial Products;
(iv) Managing a Collective Investment Fund;
(v) Providing Custody;
(vi) Insurance Intermediation;
(vii) Insurance Management;
(viii) Managing a Profit Sharing Investment Account (unrestricted);
(ix) Providing Trust Services;
(x) Providing Fund Administration;
(xi) Acting as the Trustee of a Fund;
(xii) Arranging Credit and Advising on Credit
(xiii) Operating a Crowdfunding Platform;
(xiv) Operating an Employee Money Purchase Scheme;
(xv) Acting as the Administrator of an Employee Money Purchase Scheme;
(xvi) Providing Money Services;
(xvii) Arranging or Advising on Money Services; or
(xviii) Operating an Alternative Trading System, if it holds Client Assets;
(d) PIB Section 6.13 applies only to an Authorised Firm that provides Money Services, Account Information Services or Payment Initiation Services.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM188/2016 (Made 7th December 2016). [VER26/02-17]
[Amended] DSFA RM203/2017 (Made 14th June 2017). [VER28/08-17]
[Amended] DFSA RMI263/2019 Made 18th December 2019). [VER35/01-20]
[Amended] DFSA RMI270/2020 (Made 26th February 2020). [VER36/04-20]
[Amended] DFSA RMI312/2021 (Made 30th June 2021). [VER40/10-21]