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W 065/08 AUT — Invesco Asset Management Limited

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MODIFICATION NOTICE

To Invesco Asset Management Limited
Address Building 5, DIFC Precinct, 6th Floor, DIFC, PO Box 506599,
Dubai, U.A.E.
DFSA Firm Reference No. F000070
Notice No. W065/2008

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.

RULES MODIFIED

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.

Rule Modified Text
AUT 9.4.1
(1) An Authorised Firm, may, subject to (2) appoint an individual, who is not an Authorised Individual, to carry out the functions of an Authorised Individual where the following conditions are met:
(a) the absence of the Authorised Individual is temporary or reasonably unforeseen;
(b) the functions are carried out for 12 24 weeks maximum in any consecutive 12 months; and
(c) the Authorised Individual has the relevant skills and experience to carry out these functions.
(2) …….and so on as per the Rulebook text up to and including (3)……

CONDITIONS

None

EFFECTIVE PERIOD

This notice comes into effect on the date of issue and remains in force until further notice.

INTERPRETATION

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 : Ian Johnston
Position : Acting Chief Executive
DATE OF ISSUE: 15th October 2008