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10.2.1. Obligations in respect of correspondent banking relationships
10.5.1. Electronic verification of identification documentation
13.1.3. Residency Requirement
14.2.4. Enforcement
14.1.2. Appropriate measures
3.15. Profit Sharing Investment Accounts (PSIAs)
2.6.1. Persons eligible for Membership
Authorised Person
14.1.1. Definition of Captive Takaful Operator
2.5.7. Other types of Undertaking
4.1.1. Appointment of sponsors
4.2.1. Appointment of a compliance adviser
14.1.3. Captive Takaful Operator to be incorporated in the AIFC
14.2.1. Captive Takaful Operator may be a Protected Cell Company
15.4.1. General requirement
15.4.2. Content of records
16.1. Record keeping requirements
16.3. Internal Audit of Client Statements
Mandate
1.5. Bank
1.4 .Banking Business firms
1.6. Broker Dealer
1.7. Credit Provider
1.8. Application of these rules — genera
4.10. Base Capital Requirement
14.2.1. Captive Insurer may be a Protected Cell Company
1.3 Application of these PRU(INT) Rules
2.1.1 Governing Body’s responsibilities
2.1.2 Systems and controls
2.2 Financial Resources
3.1 References to Capital Resources
3.2 Minimum Capital Requirement
4.1 Firms must take out and maintain professional indemnity insurance
4.2 Who is suitable to provide professional indemnity insurance?
4.3 Requirements for professional indemnity insurance policies
5.2 Preparing Returns
5.3 Signing Returns
5.4 Reductions in paid-up share capital and other capital instruments
1.1.3. Key Definitions
5.5 Breaches of PRU(INT)
13. Definition of Authorised Firm
30. Application for a Licence to carry on Regulated Activities
2.10.4. Obligation to provide access to the AFSA
55. Persons eligible for Membership
3.1.1. General requirement
85. Sponsors and compliance advisers
111. Relevant Transfer
113. Powers of the Court in relation to a transfer scheme
3.1.2. Territorial scope
3.2.1. General requirement
3.2.2. No avoidance of regulatory liability
1.2.1. Modifications and exclusions stated in a COB rule
Transaction
Financial Group
Guidance: Purpose of this rulebook
1.1.1. Definition of Regulated Activities
1.1.8. Modification or withdrawal of an Authorised Firm’s Licence
2.2.8. Modification or withdrawal of an Approved Individual’s registration
2.2.9. Dismissal or resignation of an Approved Individual
6.2.4. Major Acquisitions
2.3.1. Classification as a Professional Client
5.2.7. Professional Clients
5.2.8. Firms providing trust services
2.5.6. Assessed Professional Clients: Undertakings
1.1. General application rule
2.1.1. Obligation to classify Clients
2.1.2. Obligation to notify classification to Clients
2.1.3. Person may be classified as more than one category of Client
2.2.1. Classification as a Retail Client
2.2.2. Authorised Firm may choose to treat any Person as a Retail Client
2.4.1. Requirements to be a Deemed Professional Client
2.5.1. Assessed Professional Clients: Individual Clients
2.5.3. Assessment of experience and understanding
2.5.4. Legal structures or vehicles containing an individual's investment portfolio
2.5.5. Individual joint account holders
2.5.8. Client no longer meeting the requirements to be a Professional Client
2.6.1. Obligation to notify Professional Client of right to be treated as a Retail Client
2.6.2. Authorised Firm not providing services to Retail Clients
2.6.3. Professional Client that asks to be treated as a Retail Client
2.7.1. Classification as a Market Counterparty
2.10.1. Requirement to keep records
2.7.2. Requirement for confirmation by the Client
2.8.1. Trusts
2.10.3. Date on which the business relationship ended
2.8.2. Funds
2.9.1. General application of the "agent as client" rule
2.9.2. Exclusion from the "agent as client" rule
2.9.3. Agreement in relation to more than one underlying client
3.2.3. Information to be communicated directly to Client
3.3.1. Prohibition on Financial Promotions
3.3.8. Restriction on communicating Financial Promotions
3.4.1. Application
4.1. Application
4.2.1. Requirement to enter into a client agreement
4.2.2. Relationship between key information and client agreement
4.2.3. Where it is impracticable to provide key information or enter into a client agreement
4.2.4. Records of explanation to the Client
4.3. Content of client agreement
4.5. Record keeping
5.2.6. Insufficient information
5.1.1. Application of requirement to assess suitability
5.2.5. Knowledge and experience
5.1.2. Application of requirement to assess appropriateness
5.1.3. Market Counterparties
5.2.1. Requirement to assess suitability
5.2.2. Nature of suitability assessment
5.2.3. Investment objectives
5.2.4. Financial situation
5.2.9. Suitability reports
5.3.1. Requirement to assess appropriateness
6.1.3. Best execution with or for Retail Clients
5.3.2. Exemption from requirement to assess appropriateness
6.1.4. Specific instructions
5.3.4. Nature of appropriateness assessment
6.1.2. Best execution obligation
5.3.5. Client's knowledge and experience
5.3.6. Professional Clients
5.3.7. Warning the Client
5.4. Information about the Client
5.5. Record keeping
5.6.1. Product disclosure document—preparation
5.6.2. Product disclosure document—provision requirement
5.6.3. Product disclosure document—form
5.6.4. Product disclosure document—content
5.6.5. Life policies and Family Takaful Contracts —additional content
6.2.1. Application
6.2.2. General requirement
5.6.7. Life policies or Family Takaful Contracts —effect of charges and expenses tables
5.6.9. Life policies or Family Takaful Contracts —provision of policy document
5.6.10. Life policies or Family Takaful Contracts —recordkeeping
6.1.1. Application
6.2.3. General obligation in relation to orders for a Client
6.2.4. Aggregation of orders
6.2.5. Allocation of Investments
6.2.6. Churning
6.2.7. Timely execution
6.2.8. Averaging of prices
6.2.9. Records of orders and transactions
6.3.1. General requirement
6.3.2. Notification to Clients
6.4. Direct Electronic Access
6.3.3. Privately owned equipment
7.1. The general obligation
6.3.5. Record keeping
7.2. Identifying a conflict of interest
7.3. Managing a conflict of interest
7.4.1. General requirement
7.4.2. Introductions
8.1.2. Application of COB 8
7.4.3. Requirement to disclose inducements
7.4.4. Disclosure in summary form
7.4.5. Record keeping
7.5.1. Conditions for Personal Transactions
7.5.2. Content of written notice
8.1.1. Purpose of COB 8
8.1.3. Meaning of "hold" and "control"
8.1.4. General requirements
8.1.5. Arranging Custody
8.2.1. Meaning of "Client Money"
8.2.2. Exclusion of the Client Money Rules
8.2.6. Client Money held for Segregated Clients in a Client Money Account
8.2.3. General requirements
8.2.4. Client Money Accounts
8.2.5. Requirement to pay Client Money into Client Money Account
8.2.7. Client Money Account to contain Client Money only
8.2.8. Exceptions to Holding Client Money in Client Money Accounts
8.2.9. Conditions for use of Third Party Account Providers
8.2.10. Holding Client Money with Third Party Account Providers
8.2.11. Due diligence on Third Party Account Providers
8.2.12. Obtaining written acknowledgments from Third Party Account Providers
8.2.13. Payments of Client Money from Client Money Accounts
8.2.15. Distribution Event
8.2.16. Client Money Distribution Rules (Investment Business)
8.2.17. Procedures relating to Client Money Accounts
8.2.18. Client disclosures
8.2.19. Client reporting
8.2.20. Record keeping
8.2.21. Reconciliations
8.2.22. Nature of reconciliation
8.3.15. Record keeping
8.2.23. Requirements for reconciliation
8.2.24. Review of reconciliation
8.3.1. Meaning of Client Investments
8.3.2. Exceptions to the Client Investments Rules
8.3.3. Safeguarding Client Investments
8.3.4. Client Investment Accounts
8.3.5. Registration and recording of Client Investments
8.3.6. Registration and recording of Client Investments
8.3.7. Holding Client Investments with Third Party Account Providers
8.3.8. Due diligence on Third Party Account Providers
8.3.9. Entering into written agreements with Third Party Account Providers
8.3.10. Contents of agreements with Third Party Account Providers
8.3.11. Use of Client Investments for the purposes of the Authorised Firm or another Person
8.3.12. Procedures relating to Client Investment Accounts
8.3.13. Client disclosure
8.3.16. Reconciliations
8.3.17. Review of reconciliation
8.4. Mandates
8.5.3. Exception
8.5.9. Client Money Account
8.5.10. No confirmation from Third Party Account Provider
9.1.1. Application
9.1.2. Providing trade confirmations
9.1.4. Market Counterparties
9.1.5. Record keeping
9.2.1. Requirement to provide periodic statements
9.2.2. Record keeping
10.1. Application
10.2. Conflicts of interest
10.7. Restrictions on publication during public offer
10.3.1. Restrictions on investment analysts
10.3.2. Restrictions on own account transactions
10.4. Physical separation
10.8.1. General requirement
10.5. Key information
10.6. Disclosure of conflicts of interests
10.8.2. Disclosure
15.1. Application
15.2.1. General requirement
15.2.2. Procedures available on request
15.2.3. Proportionality
15.3.1. Complaints involving other entities
15.2.4. Receiving a Complaint
15.3.2. Referral to other entities
15.2.5. Resolving a Complaint
15.2.6. Employees handling complaints
18.1. Application
19.3.3. Non-Investment Insurance Contracts—exercising cancellation right
19.3.4. Non-Investment Insurance Contracts—consequences of cancellation
20.1.1. General application
SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
14.1.1. Definition of Captive Insurer
1.1. Application
1.6. Prohibition from conducting Islamic Financial Business
1.8. Islamic Window
1.11. Managing a Restricted Profit Sharing Investment Account (RPSIA)
1.12. Definition of Islamic Financial Contract
2.1. Requirements for Authorisation
4.3. Responsibility for compliance
4.2. Requirement for procedures, processes, systems, controls and limits
4.4. Responsibility for compliance with Shari’ah
5.3. Independence of SSB
5.3. Independence of SSB
6.1. Islamic Window - Definition
6.2. Operation of Islamic windows
6.3. Performance of internal Shari’ah review
1.1.2. Purpose
3.2 Place of Business
Annex A – Client Money Auditor's Report
Annex B – Client Investments Auditor's Report
Annex C – Insurance Intermediary Auditor's Report
Captive Insurer
Captive Takaful Operator
Collateral
Credit Risk
Customer
Deposit
Distribution Event
Insurance Intermediary
Insurer
Investment Crowdfunding Platform
Liquidity Risk
Market Counterparty Business
Matched Principal
Nominee Company
Product Disclosure Document
Third Party Account Provider
1.2.1. Application fees payable to the AFSA in respect of Regulated Activities
1.2.2. Application fees payable to the AFSA in respect of Market Activities
1.2.3. Application fees payable to the AFSA in respect of Ancillary Services
1.4. Non-refundable nature of application fees
2.2. Non-refundable nature of application fees
3.1.1. What annual supervision fees must be paid
6.1. AFSA and the Registrar of Companies may require supplementary fees in certain cases
1.1 Application fees for applying for Licence to carry on Regulated Activities
1.2 Application fees for modification and withdrawal of a Licence or Approved Individual's registration

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