RPP 4-5-1

The DFSA has a power under Article 75 to impose prohibitions or restrictions on an Authorised Person's business. This includes prohibiting an Authorised Person from entering into specific types of transactions, from soliciting business from specific types of persons or from carrying on business in a specific manner. The DFSA may also require an Authorised Person to carry on business in, and only in, a specified manner. The DFSA may also prohibit an Authorised Person from using a particular name or description.2


2 Article 75(1)(a)(iv).

Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition
Amended (Made 21st August 2014). August 2014 Edition