Versions

 

W 43/05 AUT — Credit Suisse

Click herehere to view the PDF

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 43/05

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 2 December 2005 and remains in effect until further notice or the date on which the current Regional Head of private banking registered as the Licensed Director of the firm by way of this rule modification remains in his office, whichever is 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/VER2/08-05.

Rule Modified Text
AUT 10.3.3.

An Authorised Firm which is a Body Corporate, other than a Limited Liability Partnership:

(a) whose head office and registered office is located in the DIFC, must register with the DFSA all of its Directors as Licensed Directors; or
(b) whose head office and registered office is not located in the DIFC must register with the DFSA at least one of its Directors or the Market Group Head of Private Banking for Middle East Asia as a Licensed Director who is ultimately responsible for the Authorised Firm’s Financial Services carried on in or from the DIFC.

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.

Name : Jane Coakley
Position : Managing Director — Authorisation
Date : 1 December 2005