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W 21/06 COB — Credit Suisse

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MODIFICATION NOTICE

To Credit Suisse
Address The Gate Building, 9th Floor East, DIFC, PO Box 33660, Dubai – UAE
DFSA Firm Reference No. 10011
Notice No. W 021/2006

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 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 23 February 2006 and expires on 22 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 COB/VER1/261/09-04.

Rule Modified Text
COB A3.1.1
(1) For the purposes of COB Rule 8.2.1, an Authorised Firm must include the following general information:
(a) …………………………………………………………………..
…………………………………………………………………..
(g) if applicable, a statement that information about whether the Transaction was Executed on an execution only or other basis, will be supplied on request;
(h) the date and time of the Transaction and a statement that information about the time of the Transaction will be supplied on request;
(i) …………………………………………………………………..
…………………………………………………………………..
(l) for Collective Investment Funds, at a statement that the price at which the Transaction has been Executed whether on a Historic Price or Forward Price basis, will be supplied on request.

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 capitalization 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 : 22 February 2006