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Jul 5 2012 onwards

29. Maintaining an Official List of Securities



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(1) Subject to Article 29(2), an Official List of Securities for an Authorised Market Institution may be maintained by either the relevant Authorised Market Institution or the DFSA.
(2) An Authorised Market Institution may maintain an Official List of Securities provided it has an endorsement on its Licence authorising it to maintain an Official List of Securities.
(3) The DFSA may, at any time, transfer an Official List of Securities maintained by:
(a) the DFSA, to an Authorised Market Institution, provided the Authorised Market Institution has an endorsed Licence authorising it to maintain an Official List of Securities; and
(b) an Authorised Market Institution, to the DFSA in the circumstances described in Article 29(4)(a) or (c).
(4) The DFSA may maintain an Official List of Securities where:
(a) the Authorised Market Institution does not wish to maintain an Official List of Securities;
(b) the DFSA has refused to grant an endorsement to an Authorised Market Institution to maintain an Official List of Securities; or
(c) the DFSA has suspended or withdrawn an endorsement on an Authorised Market Institution's Licence to maintain an Official List of Securities.
(5) An Authorised Market Institution shall, when maintaining an Official List of Securities, comply with the relevant requirements in this Law, the Rules made for the purposes of this Law, its listing rules and any other applicable laws or requirements.
(6) An Authorised Market Institution shall not permit trading of Securities on its facilities unless those Securities are admitted to, and not suspended from, an Official List of Securities maintained by the Authorised Market Institution or the DFSA except where otherwise prescribed in the Rules.
(7) The DFSA may, by Rules, prescribe appropriate transitional arrangements when transferring an Official List of Securities from an Authorised Market Institution to the DFSA or from the DFSA to an Authorised Market Institution.