W415/2015 AML & GEN — Bloomberg Tradebook Europe Limited
Click here to view PDF.
WAIVER AND MODIFICATION NOTICE
To | Bloomberg Tradebook Europe Limited |
Address | Al Fattan Currency House, Level 10, PO Box 506707, Dubai, UAE |
DFSA Firm Reference No. | F001106 |
Notice No. | W415/2015 |
THE DFSA HEREBY GIVES NOTICE THAT:
RULES WAIVED
TABLE A | |
Rulebook Module | Rule |
AML Chapter 11 | Rule 11.2.1(2) |
RULES MODIFIED
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.
TABLE B | |
Rule | Modified Text |
GEN 7.5.2 |
The Authorised Individuals referred to in Rule 7.5.1(a) |
CONDITIONS
None.
EFFECTIVE PERIOD
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.
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 IS ISSUED UNDER ARTICLE 25 OF THE REGULATORY LAW 2004 BY:
Name: | Bryan Stirewalt |
Position: | Managing Director, Supervision |
DATE OF ISSUE: | 12 November 2015 |