W 032/07 AUT — VP Wealth Management (Middle East) Limited

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To VP Wealth Management (Middle East) Limited
Address Al Murooj Rotana Hotel & Suites, P.O. Box 214058, Dubai,
DFSA Firm Reference No. F000447
Notice No. W032/2007


The Rules specified in the table herein do not apply to the above mentioned Person in the form appearing in the Rulebook but instead apply to that Person in the modified form prescribed in that table below.

This notice is issued by the DFSA under Article 25 of the Regulatory Law 2004.

Effective date: This notice comes into effect on 5 April 2007 and expires on 5 October 2007 or the date on which an individual meeting the requirements of AUT Rule 10.3.2 (unmodified) is appointed as the compliance/MLRO of the above named Person, which ever is the earlier.


The Rules listed in the left hand column of the table below are modified as shown in the right hand column of the table. In this table, underlining indicates new text and striking through indicates deleted text.

The version of Rules to which this notice relates is AUT/VER7/02-07.

Rule Modified Text
AUT 10.3.2 The Authorised Individuals referred to in AUT Rule 10.3.1(a), (c) and (d) must be ordinarily resident in the U.A.E.


The modifications in respect of the Rules specified above remain in effect for the duration of the period set out above on condition that:



The provisions in this notice are to be construed in accordance with GEN section 6.2 as if these provisions are provisions of the Rulebook.

Defined terms are identified in this notice by the capitalisation of the initial letter of a word or of each word in a phrase and are defined in the Glossary (GLO). Unless the context otherwise requires, where capitalisation of the initial letter is not used, an expression has its natural meaning.

This notice was issued by:

Name : Jane Coakley
Position : Managing Director
Date : 5 April 2007