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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
PIB App5 Market Risk
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

Whole SectionText only Print Print Manager Link

(1 version)
Dec 9 2012 onwards

PIB A5.8.4

Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

For the purposes of PIB Rule A5.8.3(b), an Authorised FirmG must treat SecuritiesG as being new if they are:

(a) SecuritiesG that, prior to the allotment following the UnderwritingG , were not in issue; or
(b) SecuritiesG that have not previously been offered for sale or subscription to the public and have not been admitted to trading on a market operated by an Authorised Market InstitutionG or an overseas investment exchange.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]