W 207/06 AUT — Rothschild (Middle East) Limited

Click herehere to view the PDF


To Rothschild (Middle East) Limited
Address PO Box 506570, Level 15 Business Centre
The Gate Building, DIFC
Dubai, United Arab Emirates
DFSA Firm Reference No. F000356
Notice No. W207/2006


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 29th November 2006 and expires on 29th May 2007 or the date on which any Rule specified herein is amended, 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/VER6/08-06.

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




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, Authorisation
Date : 29th November 2006