DFSA Rules definition

DFSA Rules means the rules made by the DFSA for carrying out the purposes of the DIFC Regulatory Law contained within the DFSA Rulebook;
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DFSA Rules means articles, rules, regulations and procedures of the DFSA in force from time to time; “FCA” means the Financial Conduct Authority;
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DFSA Rules means the rules made by the DFSA for carrying out the purposes of the DIFC Regulatory Law contained within the DFSA Rulebook; “DIFC” means the Dubai International Financial Centre; "Initial Settled means, in relation to: Amount" (a) a Conversion - the sum of money that results from the Conversion based on rate of exchange provided to us by a third party provider on a real- time basis at the time the Conversion was executed; or (b) a Transaction - the sum of money used for the execution of the Transaction based on the price(s) of the relevant Investment(s) reflected by a third party provider on a real-time basis at the time the Transaction was executed. "Instructions" means any communication, instruction, order, message data or information received by us through or pursuant to the Platform or otherwise referable to your Access Methods, and any information delivered to us offline by any methods as we may agree; "Intermediary" nominee, agent, broker, custodian, fund manager, market-maker, exchange and/or other third party; "Investment has the meaning ascribed to it in clause 4.1 of this Experience and Agreement; Needs Analysis" "Investment has the meaning ascribed to it in clause 6.1 of this Strategy" Agreement;
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Examples of DFSA Rules in a sentence

  • If you wish to have any of the DFSA Rules waived or modified you must submit the Form SUP 2.

  • A Person may, subject to any restrictions in the DFSA Rules, carry on more than one Financial Service, provided that Person has the relevant authorisations or endorsements on its Licence as are applicable.

  • If you wish any of the DFSA Rules waived or modified you must submit the Form SUP 2.

  • If you have been granted any waivers or modifications of the DFSA Rules prior to submitting this form please provide the Notice number.

  • If the nominated Compliance Officer is not resident in the UAE, the applicant must also submit an SUP2 form applying for a waiver of GEN 7.5.2. In such cases, the applicant must demonstrate that it has sufficient resources and appropriate compliance oversight arrangements for the DIFC operation.CR27.An SUP2 form is only required where the applicant wishes to apply to have any of the DFSA Rules waived or modified.Fees For comprehensive details of fees, please refer to the Fees module of the DFSA Rulebook.

  • This person must be a representative of the applicant.CR11.You may have a professional adviser assisting with the application process.CR12.Please tick “yes” to question if the DFSA should copy correspondence in relation to this application to the adviser.CR13.If you wish any of the DFSA Rules waived or modified you must submit the Form SUP 2 Controllers CR14.

  • The DIFC specific regime is contained in Chapter 2 of Part 4 of the Regulatory Law and any DFSA Rules made in connection with anti- money laundering measures, policies and procedures.

  • If you wish to have any of the DFSA Rules waived or modified, you must submit the Form SUP 2.

  • It follows that a failure to comply with a provision of Federal Law No. 20 of 2018 on Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations or Federal Law No. 7 of 2014 on Combating Terrorism Offences or the implementing regulations under those laws may also provide evidence of failure to comply with Article 71(1), which may then be addressed under the disciplinary and remedial provisions of the Regulatory Law and DFSA Rules.

  • Please list any applications being made for a waiver / modification of DFSA Rules.


More Definitions of DFSA Rules

DFSA Rules means the rules and regulations of the DFSA as1` set out in the DFSA RuleBook, as amended from time to time.
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DFSA Rules means the relevant modules of the DFSA Rulebook.
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DFSA Rules means the relevant modules of the DFSA Rulebook. “DIFC” means the Dubai International Financial Centre.
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Related to DFSA Rules

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • JAMS Rules has the meaning assigned thereto in Section 13 hereof.

  • ACH Rules means the NACHA Operating Rules and NACHA Operating Guidelines, as in effect from time to time.

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • ICC Rules means the Rules of Arbitration of the International Chamber of Commerce in effect on the date the applicable arbitration proceeding begins.

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • AAA Rules has the meaning set forth in Section 11.2.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • House Rules means written and posted rules governing house activities in the AFH-DD. These rules may not conflict with the AFH Bill of Rights.

  • Model Rules means the State of Oregon’s Attorney General’s model rules of procedure for Public Contracting, which are set forth in OAR Chapter 137, divisions 46, 47, 48, and 49, and required under ORS 279A.065.

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • Business Rules means the business rules established by JSCC regarding its Financial Instruments Obligation Assumption Service for CDS Transactions, as amended, if applicable.

  • Hague-Visby Rules means the provisions of the International Convention for the Unification of certain rules Relating to Bills of Lading signed at Brussels on 25th August 1924 as amended by the Visby Protocol of 23rd February 1968 and the SDR Protocol of 21st December 1979;

  • Relevant Rules means, at any time, the laws, regulations, requirements, guidelines and policies relating to capital adequacy (including, without limitation, as to leverage) then in effect in the United Kingdom including, without limitation to the generality of the foregoing, as may be required by CRD IV or BRRD or any applicable successor legislation or any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and applicable to the Issuer from time to time and any regulations, requirements, guidelines and policies relating to capital adequacy adopted by the Relevant Regulator from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer or to the Issuer and any of its holding or subsidiary companies or any subsidiary of any such holding company).

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • Site Rules means all rules, regulations, directives and policies notified by the Company from time to time which are intended to be of general application to persons at a Site controlled or managed by the Company.

  • NYSRC Reliability Rules means the rules applicable to the operation of the New York Transmission System. These rules are based on Reliability Standards adopted by NERC and NPCC, but also include more specific and more stringent rules to reflect the particular requirements of the New York Transmission System.

  • Scheme Rules means the applicable SEPA direct debit or credit transfer scheme rules of the European Payments Council as amended from time to time.