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W 153/06 AUT — Lehman Brothers International (Europe)

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MODIFICATION NOTICE

To Lehman Brothers International (Europe)
Address 25 Bank Street, London E14 5LE
United Kingdom
DFSA Firm Reference No. F000278
Notice No. W153/2006

THE DFSA HEREBY GIVES NOTICE THAT:

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 the Person in the modified form prescribed in that table.

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

Effective date: This notice comes into effect on 28th August 2006 and expires on 28th February 2007 or the date on which any Rule specified herein is amended, which ever is the earlier.

RULES MODIFIED

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/VER6/08-06.

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.

CONDITIONS

None.

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 was issued by:

Name : David Knott
Position : Chief Executive
Date : 28th August 2006