W412/2015 AML & GEN — Oaktree Capital Management (Dubai) Limited
WAIVER AND MODIFICATION NOTICE
|To||Oaktree Capital Management (Dubai) Limited|
|Address||Office No 15052, The Gate, Level 15, DIFC, PO Box 121208, Dubai, UAE|
|DFSA Firm Reference No.||F0002385|
THE DFSA HEREBY GIVES NOTICE THAT:
|AML Chapter 11||Rule 11.2.1(2)|
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.
The Authorised Individuals referred to in Rule 7.5.1(a)
This notice comes into effect on the date of issue and remains in force for 12 months thereafter or until further notice, whichever is the earlier.
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:
|Position:||Managing Director, Supervision|
|DATE OF ISSUE:||25 October 2015|