W 039/08 COB — Julius Baer
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Julius Baer (Middle East) Limited
Level5, emirates Towers
PO Box 504925
United Arab Emirates
|DFSA Firm Reference No.||F10001|
THE DFSA HEREBY GIVES NOTICE THAT:
The Rules specified in the left hand column of the table herein do not apply to the above mentioned Person in the form appearing in the Rulebook but instead apply as modified in the right hand column of the table.
The Rules specified in the left hand column are modified to the extent shown in the right hand column of the table below. In this table, underlining indicates new text and striking through indicates deleted text, otherwise the Rule remains unaltered. Where a significant number of the paragraphs of the Rule remain un-altered the entire Rule may not be reproduced in the table. In such circumstances the un-altered parts of the Rule will be referred to by the relevant identifying paragraph number or letter, as the case may be.
(1) For the purposes of Rule 6.9.2, an Authorised Firm must include the following general information:
…………..and so on as per the Rulebook text up to and including (f)
(h) the date
…………..and so on as per the Rulebook text up to and including (k)
…………..and so on as per the Rulebook text up to and including (2).
(3) At the request of the Client, an Authorised Firm will provide separately the following general information;
(a) a statement that the Transaction was executed on an Execution-Only Basis or other basis;
(b) the time of the Transaction; and
(c) for Funds, a statement that the price at which the Transaction has been executed is on Historic Price or Forward Price basis, as the case may be.
The waiver shall remain valid subject to the condition that no substantial changes are made to Clause 1.8 "Contract Notes" of Julius Baer (ME) Ltd Additional Terms and Conditions relating to a DIFC Account.
This notice comes into effect on the date of issue and remains in force until further notice.
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 IS ISSUED UNDER ARTICLE 25 OF THE REGULATORY LAW 2004 BY:
|Name :||Jane Coakley|
|Position :||Acting Chief Executive|
|DATE OF ISSUE:||1st July 2008|